Operations Associate - Financial Services

Leeds Professional Resources; Miami (FL); On-site; USD 60,000 - 90,000; Full time

Job summary

Leeds Professional Resources is seeking an Operations Associate with experience in the financial services industry to join our client's team. The role manages back-office functions that support trading, settlement, and regulatory compliance, including reconciliations, trade confirmations, and money movement (ACH/wires).

Key responsibilities include overseeing the trade lifecycle, maintaining SEC/FINRA compliance, and supporting client onboarding from a funding perspective.

Qualifications

• Experience in a broker-dealer or financial services operations environment.
• Regulatory knowledge of SEC/FINRA regulations.
• Proficiency in MS Office, especially Excel; familiarity with industry software.
• Strong attention to detail, multitasking, and communication skills.

Responsibilities

• Oversee trade processing, confirmations, clearing, and settlement.
• Adhere to AML/KYC protocols and assist audits.
• Investigate trade breaks, resolve discrepancies, and support ACATS inquiries.
• Assist onboarding of new clients from a funding perspective.

Skills

Attention to detail

Multitasking

Communication skills

Experience in broker-dealer operations

Education

Bachelor's degree in finance, business, or related field

Tools

Excel

Trading systems

Job description

We are seeking an operations associate with experience in the financial services industry to join our client's team! Operations Associate manages back-office functions that support trading, settlement, and regulatory compliance, such as reconciliations, trade confirmations, and money movement (ACH/wires). They ensure accurate processing of securities transactions, maintain client accounts, and uphold SEC/FINRA regulations.

Key Responsibilities

• Trade Processing & Settlement: Oversee the trade lifecycle, including trade confirmations, clearing, and settlement to ensure timely execution.
• Compliance & Risk Management: Adhere to AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols, monitor for unusual activity, and assist with internal/external audits.
• Operational Support: Investigate trade breaks, resolve discrepancies, and support ACATS (Automated Customer Account Transfer Service) inquiries.
• Client Services: Assist with onboarding new clients from a funding perspective.

Qualifications and Skills

• Experience: Previous experience in a broker-dealer or financial services operations environment.
• Regulatory Knowledge: Familiarity with SEC and FINRA regulations.
• Technical Skills: Proficiency in MS Office (specifically Excel) and experience with industry-specific software or systems.
• Soft Skills: Strong attention to detail, multitasking abilities, and communication skills.
• Education: Typical a bachelor's degree in finance, business, or a related field, though some roles may accept equivalent experience.