Securities Operations Analyst

Phillip Capital Inc.; Charlotte (NC); Hybrid; USD 80,000 - 115,000; Full time

Job summary

Phillip Capital Inc. in Charlotte, NC is seeking experienced Securities Operations professionals at all levels to join the Broker Dealer Team. The role focuses on executing core operational functions and building scalable, compliant processes in a growing firm.

The ideal candidate has at least 5 years in a self-clearing broker-dealer, holds a Series 7, and demonstrates strong knowledge of SEC, FINRA, and OCC rules, with proficiency in Excel and SQL/Python as optional tools.

Qualifications

• Minimum of 5 years’ experience in a self-clearing broker-dealer with focus around securities and options.
• Series 7 required.
• Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
• Strong analytical skills and ability to recognize and mitigate issues with process and tools.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• A strong level of proficiency in Microsoft Office products, especially Excel.
• Ability to efficiently handle a multitude of tasks while maintaining a low error rate.
• Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred.
• Strong attention to detail, time management, and solid communication/organization skills.
• Absolute integrity and ability to recognize and learn from mistakes.

Responsibilities

• Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, with a focus on custodian services, operating and supervisory procedures, and daily reconciliations.
• Execute daily tasks related to clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers.
• Domain expertise to identify, analyze, and resolve securities and option trade settlement breaks.
• Collaborate with front office, compliance, and technology teams.
• Maintain adherence to regulatory requirements (FINRA, OCC, SEC, DTCC etc.).
• Assist in periodic internal and external audit examinations.
• Process creation, improvement, documentation, validation, and research related to new products.

Skills

Securities Operations

Broker Dealer

Regulatory Compliance

Analytical Skills

Communication Skills

Time Management

Excel

SQL

Python

No-code/Low-code

Education

Series 7 license

Tools

SQL

Python

Power Automate

Job description

We’re Hiring – Securities Operations Professionals – all levels!

Location: Charlotte, NC (Hybrid)

Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC) as a registered Futures Commission Merchant (FCM) serving professional traders and institutions with customized clearing, custody and global market access solutions.

What We Offer

We provide an environment where you can grow your skills and make meaningful, visible contributions to your team and the broader organization. Our culture is built on integrity, accountability, open communication, and continuous improvement, with a focus on building for the long term.

About the Role

We are seeking highly motivated, hands-on Securities Operations professionals at all levels to work within our Broker Dealer Team to execute core operational functions. This role is ideal for someone who thrives in a "roll-up-your-sleeves" environment, where building, improving, and directly managing processes is essential. This individual will play a critical role in ensuring operational excellence, regulatory compliance, and scalable infrastructure as the firm grows.

What You Will Do (responsibilities may vary by level)

• Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, with a focus on custodian services, operating and supervisory procedures, and daily reconciliations.
• Execute daily tasks related to clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers.
• Domain expertise to identify, analyze, and resolve securities and option trade settlement breaks.
• Collaborate with front office, compliance, and technology teams.
• Maintain adherence to regulatory requirements (FINRA, OCC, SEC, DTCC etc.).
• Assist in periodic internal and external audit examinations.
• Process creation, improvement, documentation, validation, and research related to new products.

Qualifications

• Minimum of 5 years’ experience in a self-clearing broker-dealer with focus around securities and options.
• Series 7 required.
• Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
• Strong analytical skills and ability to recognize and mitigate issues with process and tools.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• A strong level of proficiency in Microsoft Office products, especially Excel.
• Ability to efficiently handle a multitude of tasks while maintaining a low error rate.
• Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred.
• Strong attention to detail, time management, and solid communication/organization skills.
• Absolute integrity and ability to recognize and learn from mistakes.