Securities Operations & Process Improvement Specialist

LevelUP HCS; New York (NY); Hybrid; USD 110,000 - 150,000; Full time

Job summary

LevelUP HCS seeks a securities operations manager in New York to oversee financing, custody, settlements and asset services. This role focuses on improving workflows, implementing system enhancements, and coordinating applications on securities platforms.

The candidate interfaces with auditors/regulators such as FINRA, monitors control performance, and ensures regulatory alignment. Strong accounting skills and advanced MS Office proficiency are essential for success.

Qualifications

• 5 to 10 years of securities operations management experience.
• Series 27 required.
• Broadridge BPS and Impact skills.
• Experience with BNY / BDC.
• Ability to partner with Finance plus strong accounting skills a plus.
• End-to-end securities processing and accounting principles understanding.
• Strong ability to use Word, Advanced Excel and PowerPoint.

Responsibilities

• Perform product, system testing and implementation for financing, custody, settlements and asset services
• Review workflows with a focus on process improvement
• Develop and design workflow enhancements
• Coordinate and support application implementations and upgrades on securities processing platforms
• Monitor and provide reporting on control performance in appropriate bank or departmental platforms
• Interface with auditors and regulators such as FINRA during examinations or when called upon
• Review relevant regulatory changes and updates, and ensure they are incorporated into departmental management processes
• Regularly update policies and procedures, keeping them current in accordance with bank and regulatory requirements
• Create and maintain risk and management reporting
• Create and deliver custody reports and market updates for customers
• Design and produce market and industry updates for customers and management.

Skills

Advanced Excel

PowerPoint

Word

Education

Series 27

Tools

Broadridge BPS

Broadridge Impact

Job description

LevelUP HCS seeks a securities operations manager in New York to oversee financing, custody, settlements and asset services. This role focuses on improving workflows, implementing system enhancements, and coordinating applications on securities platforms.

The candidate interfaces with auditors/regulators such as FINRA, monitors control performance, and ensures regulatory alignment. Strong accounting skills and advanced MS Office proficiency are essential for success.