Security Operations Analyst

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

We’re Hiring - Securities Operations professionals - all levels - Associate up to Manager

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 (Associate up to Manager) 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

• 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.

To be considered for this position, please apply via LinkedIn or submit a resume directly to [e-mail] with "Securities Operations" in the subject line. Phillip Capital Inc. will not consider candidates sent by recruiters for this position.