Brokerage Operations Analyst

ZipRecruiter; Charlotte (NC); On-site; USD 45,000 - 70,000; Full time

Job summary

An established industry player is seeking a Brokerage Operations Analyst to support back-office operations in a fast-paced environment. This role involves managing account transfers, resolving reporting issues, and ensuring client requests are met efficiently. The ideal candidate will have strong problem-solving skills, attention to detail, and a collaborative spirit. Join a dynamic team where your contributions will directly impact operational excellence and client satisfaction. If you thrive under pressure and possess a keen eye for detail, this opportunity is perfect for you.

Qualifications

• 3+ years of experience in brokerage/securities operations.
• Strong written and verbal communication skills.

Responsibilities

• Perform back-office operations support including account transfers and tax reporting.
• Collaborate with teams to resolve reporting issues.

Skills

Brokerage Operations

Problem-Solving

Communication Skills

Microsoft Excel

Attention to Detail

Tools

BetaNXT Beta

Broadridge

FIS/SunGard Phase 3

Job description

Job Description

Title: Brokerage Operations Analyst

Duration: 10 months

Work locations: Charlotte, NC, Tempe, AZ

Responsibilities:

• Perform day-to-day back-office operations support, including but not limited to account transfers (ACATS and non-ACATS), name/address changes, funds disbursements, DTC transfers, year-end tax reporting, charitable gifting, etc.
• Collaborate with Reporting and Technology teams to resolve reporting issues as they are identified.
• Support client requests for statements and tax documents, including 1099s and K-1s.
• Be a self-starter with excellent problem-solving skills, capable of working under pressure in a fast-paced environment.
• Possess solid written and oral communication skills.
• Organize, prioritize, manage multiple tasks, and keep the team informed on open items.

Qualifications:

• 3+ years of brokerage/securities middle-office or back-office operations experience.
• Experience with daily processing and reconciliation in one or more of the following areas:

1. ACATS and non-ACATS account transfer
2. New Accounts
3. Corporate Actions/Reorg
4. Dividends and Interest
5. Margin Accounts
6. Purchase and Sales (P&S)
7. Cash Settlements
8. Stock Record

• Experience utilizing systems such as BetaNXT Beta, Broadridge, FIS/SunGard Phase 3
• Proficiency with Microsoft Excel
• Ability to understand the business’s products, systems, and client-specific needs thoroughly
• Strong written and verbal communication skills
• High attention to detail and ability to work under pressure to meet deadlines
• Ability to work effectively in a team while taking individual responsibility for work quality and accuracy