Senior Equity Operations Support Specialist (VN3336)

Marex; New York (NY); Presencial; USD 90.000 - 130.000; Jornada completa

Descripción de la vacante

Marex is seeking a Senior Equity Operations Support Specialist to join its Equity Operations team in New York. The role covers operational oversight, trade support, control execution, and process improvements across equity and options businesses including Prime Brokerage and Institutional Brokerage.

The ideal candidate has 1–5 years in finance, hands-on experience with equities/options, and familiarity with Broadridge BPS and regulatory requirements.

Formación

• Bachelor’s degree in finance, business, or related field
• 1–5 years’ experience in a financial institution required
• Experience supporting equities and/or options required
• Experience with DTC/NSCC and OCC
• ADR conversion and ETF create/redeem experience a plus
• Understanding of trade life cycle events preferred
• Ability to document procedures and controls
• Excellent verbal and written communication skills
• Experience in regulated environments and risk/compliance requirements

Responsabilidades

• Supervise daily activity of Broadridge BPO.
• Work with Broadridge to identify and resolve breaks.
• Provide daily middle-office support for U.S. equity and options trading.
• Review and validate trade capture and ensure accurate trade allocation.
• Investigate trade breaks and operational exceptions.
• Perform end-of-day reconciliations and control checks.
• Support settlement activity within DTC.
• Process ETF creations and redemptions.
• Monitor failed trades and coordinate resolutions.
• Adhere to and strengthen the SOX control framework.
• Ensure compliance with SEC, FINRA, NFA, CFTC and exchanges requirements.

Conocimientos

Strategic thinking

Problem solving

Client focus

Interpersonal skills

Work ethic

Resilience

Networking

Collaboration

Educación

Bachelor’s degree in finance, business, or related field

Herramientas

Broadridge BPS

FINRA Series 99

Descripción del empleo

About Marex

Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.

The Equity Operations team supports a broad range of equity and options products and serves as a critical control function, ensuring operational integrity, regulatory compliance, and support for new business initiatives and products.

Role Summary

Marex is seeking a Senior Equity Operations Support Specialist who will be part of a team responsible for supporting various equity and options business lines including Prime Brokerage, Institutional Agency Brokerage, ADR Market Making and ETFs. The role combines operational oversight, trade support, control execution, exception management, and continuous process improvement in a regulated environment.

Responsibilities

• Supervise daily activity of Broadridge BPO.
• Work closely with the Broadridge team to identify and resolve breaks.
• Provide daily middle-office support for U.S. equity and options trading activities supporting Prime Brokerage and Institutional Brokerage businesses.
• Review and validate trade capture and ensure accurate trade allocation within firm systems.
• Investigate trade breaks, unmatched trades, incorrect settlement instructions, and operational exceptions.
• Perform post-trade allocations through CTM and NYFIX Match
• Support DVP/RVP, free delivery, and settlement activity within DTC.
• Process ETF creations and redemptions.
• Monitor failed trades and coordinate timely resolution with internal and external stakeholders.
• Assist with corporate actions and events impacting 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 supporting the business.
• Perform and evidence daily controls within the SOX control environment.
• Ensure compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework for your role ensuring all regulatory and company parameters are met.
• All employees are expected to understand and comply with any Sarbanes Oxley operational requirements relevant to their role.
• Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with Marex’s Code of Conduct
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
• To report any breaches of policy to Compliance and/ or your supervisor as required
• To elevate risk events immediately
• To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

Competencies, Skills and Experience

Competencies

• Astute thinker with aptitude to learn.
• Effective problem solver who can work independently as well as a part or a larger team.
• Accurate and thorough with a client focus.
• Strong interpersonal characteristics with ability to build relationships with internal staff across the firm as well as interact comfortably with MCM clients.
• Strong work ethic (early and late shifts may be instituted and required from all staff).
• Resilient in a challenging, fast-paced environment.
• Excels at building relationships, networking and influencing others.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Skills and Experience

• At least (1-5) One to five years’ experience in a Financial Institution required.
• Bachelor’s degree in finance, business, or related field
• Working knowledge of Broadridge BPS strongly preferred
• FINRA Series 99 strongly preferred.
• Experience supporting Equities and/or Options required
• Experience with DTC/NSCC and OCC
• Experience supporting Equities/Options
• ADR conversion and ETF create/redeem experience a plus
• Understanding of trade life cycle events strongly preferred
• Ability to document procedures and controls
• Excellent verbal and written communication skills
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Company Values

Be collaborative

by working together across the organization, we foster teamwork, can better respond to challenges and successfully deliver for our clients

Act with integrity

we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders

Be adaptable and entrepreneurial

we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.

Be respectful

how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.

Nurture talent

we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.

Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.