Trading Operations Specialist

Ascendo Resources; Miami (FL); Presencial; USD 85 000 - 120 000; Tempo integral

Resumo da oferta

Ascendo Resources is seeking a Trading Operations Specialist to manage day-to-day broker-dealer operations and ensure accurate trade settlements. You will coordinate with clients, onboard new accounts, and maintain compliant records while working with compliance and internal teams to improve efficiency.

Ideal candidates have 2+ years in trading operations, strong attention to detail, and FINRA SIE/Series 7/99 licenses. Excellent communication and the ability to multitask are valued in this role.

Qualificações

• 2+ years of trading operations experience.
• Solid understanding of trade settlement processes and industry regulations.
• Excellent attention to detail and strong analytical skills.
• Proficient in using NetX360 and Microsoft Office Suite.
• Strong written and verbal communication skills.
• Ability to work independently and meet tight deadlines.
• FINRA licenses SIE, Series 99, and/or Series 7.

Responsabilidades

• Coordinate and execute trade settlement process for client accounts.
• Communicate with clients and resolve trade inquiries or issues.
• Maintain accurate client records and ensure regulatory compliance.
• Review and reconcile account statements, ensuring accuracy of transactions.
• Assist in the onboarding process for new clients, including account setup and documentation.
• Work closely with the compliance team to ensure adherence to industry regulations.
• Assist in the preparation and submission of regulatory reports.
• Monitor and analyze trading activities, identifying any potential risks or anomalies.
• Collaborate with internal teams to improve operational processes and efficiency.
• Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner.

Conhecimentos

Trading operations

Trade settlement

Regulatory knowledge

Attention to detail

Analytical skills

NetX360

Microsoft Office Suite

Communication skills

Independent work

Multitasking

FINRA SIE

FINRA Series 7

FINRA Series 99

Formação académica

FINRA SIE

FINRA Series 7

FINRA Series 99

Ferramentas

NetX360

Microsoft Excel

Microsoft Office Suite

Descrição da oferta de emprego

We are seeking a Trading Operations Specialist candidate who will be responsible for day-to-day operations of broker-dealer operations.

Responsibilities

• Coordinate and execute trade settlement process for client accounts
• Communicate with clients and resolve any trade-related inquiries or issues
• Maintain accurate client records and ensure compliance with regulatory requirements
• Review and reconcile account statements, ensuring accuracy of transactions
• Assist in the onboarding process for new clients, including account setup and documentation
• Work closely with the compliance team to ensure adherence to industry regulations
• Assist in the preparation and submission of regulatory reports
• Monitor and analyze trading activities, identifying any potential risks or anomalies
• Collaborate with internal teams to improve operational processes and efficiency
• Provide exceptional support to clients, answering any questions or resolving any issues in a timely manner

Qualifications

• 2+ years of trading operations experience
• Solid understanding of trade settlement processes and industry regulations
• Excellent attention to detail and strong analytical skills
• Proficient in using financial software and Microsoft Office Suite and NetX360
• Strong written and verbal communication skills
• Ability to work independently and meet tight deadlines
• Strong problem-solving and decision-making abilities Highly organized and capable of multitasking
• FINRA licenses SIE, Series 99, and or Series 7