Senior Equity Ops & Trade Control Specialist

Marex; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

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.

Qualifications

• 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

Responsibilities

• 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.

Skills

Strategic thinking

Problem solving

Client focus

Interpersonal skills

Work ethic

Resilience

Networking

Collaboration

Education

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

Tools

Broadridge BPS

FINRA Series 99

Job description

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.