Senior Associate Equity & Options Operations, Prime Brokerage & Institutional Agency

Madison-Davis; New York (NY); Presencial; USD 110.000 - 140.000; Jornada completa

Descripción de la vacante

Madison-Davis, LLC in New York, NY seeks a Senior Associate to support equity and options operations within Prime Brokerage and Institutional Agency offices. The role includes middle-office trade support, overseeing a Broadridge BPO team, and ensuring SOX-compliant controls in a high-volume setting.

Ideal candidates have 1–5 years of hands-on experience with DTC/NSCC settlement, post-trade allocation, and regulatory compliance.

Formación

• 1-5 years in equities or options operations.
• Knowledge of DTC/NSCC settlement and post-trade allocation.
• Experience with SOX controls and regulatory requirements.
• Strong attention to detail and problem-solving mindset.
• Ability to thrive in a fast-paced, high-volume environment.

Responsabilidades

• Supervise daily activity of outsourced Broadridge BPO team and resolve breaks.
• Provide daily middle-office support for US equity and options trading activity.
• Review trade capture and ensure accurate allocation; perform post-trade allocations.
• Investigate trade breaks, unmatched trades, and incorrect settlement instructions.
• Support DVP/RVP, FDD, and settlement activity within DTC; coordinate resolutions.
• Process ETF creations/redemptions; assist with corporate actions affecting positions.
• Perform end-of-day reconciliations and SOX control evidence.

Conocimientos

Equities operations

Post-trade allocation

DTC/NSCC settlement

SOX controls

Regulatory compliance

Descripción del empleo

Title: Senior Associate Equity & Options Operations, Prime Brokerage & Institutional Agency Office

Status: Onsite New York, NY (5 days) Base Salary: $110k $140k + Bonus

ABOUT THE ROLE

This opportunity sits within the Equity Operations team of a well-established and rapidly growing global financial services platform, supporting a broad range of equity and options business lines including Prime Brokerage, Institutional Agency Brokerage, ADR Market Making, and ETFs. The team is a critical control function, ensuring operational integrity, regulatory compliance, and support for new business initiatives. The role combines daily middle-office trade support, oversight of an outsourced Broadridge BPO team, break and exception resolution, and SOX control execution in a regulated environment. It s an ideal fit for an equities or options operations professional with 1-5 years of experience who combines hands‑on knowledge of DTC/NSCC settlement and post‑trade allocation with strong attention to detail, a problem‑solving mindset, and the resilience to thrive in a fast‑paced, high-volume setting. Five days onsite is required, and early or late shifts may be required.

RESPONSIBILITIES

• Supervise the daily activity of the Broadridge BPO team and work closely with them to identify and resolve breaks
• Provide daily middle-office support for US equity and options trading activity across the Prime Brokerage and Institutional Brokerage businesses
• Review and validate trade capture and ensure accurate trade allocation within firm systems;perform post-trade allocations through CTM and NYFIX Match
• Investigate trade breaks, unmatched trades, incorrect settlement instructions, and other operational exceptions
• Support DVP/RVP, free delivery, and settlement activity within DTC;monitor failed trades and coordinate timely resolution with internal and external stakeholders
• Process ETF creations and redemptions;assist with corporate actions and events affecting equity positions and transactions
• Perform end-of-day reconciliations and control checks across products, systems, and trade flows
• Adhere to and enhance the operational control framework;perform and evidence daily controls within the SOX control environment
• Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC, and applicable exchanges, and with the operational risk framework
• Report policy breaches to Compliance or your supervisor, elevate risk events immediately, and provide input to risk management processes
• Uphold the highest standards of integrity and conduct in line with the firm s values and Code of Conduct