Securities Operations Analyst

Phillip Capital Inc.; Dallas (TX); On-site; USD 85,000 - 120,000; Full time

Job summary

Phillip Capital Inc. is seeking Securities Operations professionals at all levels to join our Broker Dealer Team. The role emphasizes building, improving, and directly managing processes to support regulatory compliance and scalable infrastructure as the firm grows.

Ideal candidates have extensive experience in securities and options operations, a Series 7, and strong analytical skills to resolve settlement and custody challenges in a fast-paced environment.

Qualifications

• Minimum of 5 years' experience in a self-clearing broker-dealer focusing on securities and options.
• Series 7 is required.
• Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
• Strong analytical skills and the ability to identify, analyze, and mitigate issues with processes and tools.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• Proficiency in Microsoft Excel.
• Ability to handle multiple tasks with low error rate.
• Experience with SQL, Python, Power Automate or other no/low-code solutions preferred.
• Strong attention to detail, time management, and communication skills.
• Absolute integrity and willingness to learn from mistakes.

Responsibilities

• Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, focusing 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

Series 7

Regulatory knowledge

SQL

Python

Excel (advanced)

No/low-code tools

Audit support

Attention to detail

Regulatory rules (SEC/FINRA/OCC)

Tools

Power Automate

Job description

We're Hiring - Securities Operations Professionals - all levels!

Phillip Capital Inc. 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.