Brokerage Operations Manager

Third Party Technologies Inc.; Portland (OR); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Opportunity to lead innovative projects

Job summary

Third Party Technologies Inc. is seeking an experienced Brokerage Operations Manager to join our broker-dealer subsidiary, Third Party Trade LLC. In this role, you will monitor daily reports, oversee compliance, and work closely with various stakeholders to ensure smooth operations.

The ideal candidate will have 1–3 years of finance or brokerage experience and strong communication skills. We offer the chance to power innovative investment products and democratize investing.

Qualifications

• 1–3 years of finance/brokerage experience.
• Ability to quickly learn proprietary web-based applications.
• Effective verbal and written communication skills.

Responsibilities

• Monitor and review daily reports using AML/KYC/CIP procedures.
• Review corporate actions and resolve trade errors.
• Interface with clearing firm to review trade reports and open accounts.
• Provide oversight of policies and procedures.

Skills

Verbal communication

Written communication

Compliance knowledge

Research skills

Job description

Job Description

Third Party Trade LLC

Our growing Fintech seeks an experienced Brokerage Operations Manager to join our team for our broker‑dealer subsidiary, Third Party Trade LLC. You’ll be working with an awesome team of self‑starters helping to power the next generation of financial applications.

Responsibilities

• Monitor and review daily reports, and evaluate findings using AML/KYC/CIP procedures.
• Review that corporate actions are processed correctly, resolve trade errors, identify suspense positions, etc.
• Provide oversight of policies and procedures.
• Interface with clearing firm to review trade reports, quarterly trade activity, and open new accounts.
• Provide support to clients and end‑customers.
• Review incoming deposits and approve withdrawal requests.
• Manage special projects as needed including assisting with due diligence requests or accounting research on potential transactions.
• Assist with the financial compliance notices, examinations and inquiries for SEC and/or FINRA.

Requirements

• Preferred Licenses: Series 99, Series 7 or 65 (or obtain within 120 days of hire)
• 1–3 years of finance/brokerage experience
• Ability to quickly learn proprietary web‑based account services applications
• Appreciation for compliance and adherence to government regulations
• Effective verbal and written communication skills

Nice to Have

• Experience leading projects.
• Experience working with a Registered Investment Advisor (RIA) or Introducing Broker‑Dealer (experience working with a Full Carrying or Clearing Broker‑Dealer preferred).
• SEC/FINRA regulatory and compliance knowledge.
• Excellent research skills including experience with online search tools.

What We Offer

• The chance to power new and innovative investment products and democratize investing.

All your information will be kept confidential according to EEO guidelines.