Securities Operations Specialist – Clearing & Compliance

Phillip Capital Inc.; Dallas (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

Phillip Capital Inc., based in Chicago, seeks Securities Operations professionals from Associate to Manager levels to join our Broker Dealer Team. You will help expand clearing, custody, and settlement services while ensuring regulatory compliance and scalable processes as we grow.

Ideal candidates have 5+ years in a self-clearing broker-dealer environment, Series 7, and strong knowledge of SEC/FINRA/OCC rules; proficiency in Excel, SQL or Python is preferred, with a hands-on,

Qualifications

• 5+ years’ experience in a self-clearing broker-dealer focused on 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 to identify and mitigate issues with process and tools.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• Proficient in Microsoft Excel.
• Ability to manage multiple tasks with low error rate.
• Experience with SQL, Python, Power Automate or no/low-code solutions preferred.
• Attention to detail and good communication.

Responsibilities

• Assist with expansion of securities and options trading, clearing, custody to clients.
• Execute daily clearing, settlement, pledging, exercise & assignment, expirations.
• Identify and resolve trade settlement breaks.
• Collaborate with front office, compliance, and technology teams.
• Maintain adherence to FINRA, OCC, SEC, DTCC regulatory requirements.
• Assist in internal and external audits.
• Process creation, improvement, documentation, validation and research for new products.

Skills

Securities operations

Regulatory compliance

Analytical skills

Excel proficiency

SQL

Python

No/low-code tools

Attention to detail

Tools

SQL

Python

Power Automate

Job description

Phillip Capital Inc., based in Chicago, seeks Securities Operations professionals from Associate to Manager levels to join our Broker Dealer Team. You will help expand clearing, custody, and settlement services while ensuring regulatory compliance and scalable processes as we grow.

Ideal candidates have 5+ years in a self-clearing broker-dealer environment, Series 7, and strong knowledge of SEC/FINRA/OCC rules; proficiency in Excel, SQL or Python is preferred, with a hands-on,