Operations Associate - Financial Services

Leeds Professional Resources; Miami (FL); On-site; USD 65,000 - 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. They manage back-office functions that support trading, settlement, and regulatory compliance, such as reconciliations, trade confirmations, and money movement (ACH/wires).

The role focuses on accurate processing of securities transactions, maintaining client accounts, and adherence to SEC/FINRA regulations, requiring strong attention to detail and

Qualifications

• Experience in a broker-dealer or financial services operations environment.
• Familiarity with SEC and FINRA regulations.
• Proficiency in MS Office (Excel) and industry software.
• Strong attention to detail, multitasking abilities, and communication skills.
• Bachelor's degree in finance, business, or related field (or equivalent experience).

Responsibilities

• Oversee trade processing, confirmations, clearing, and settlement to ensure timely execution.
• Adhere to AML and KYC protocols, monitor for unusual activity, 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

Education

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

Tools

Excel

Trading software

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: Typically a bachelor's degree in finance, business, or a related field, though some roles may accept equivalent experience.