Trading Operations Specialist - Back Office & Compliance

Leeds Professional Resources; Miami (FL); On-site; USD 60,000 - 90,000; Full time

Job summary

Leeds Professional Resources is seeking an Operations Associate with experience in the financial services industry to join our client's team. The role manages back-office functions that support trading, settlement, and regulatory compliance, including reconciliations, trade confirmations, and money movement (ACH/wires).

Key responsibilities include overseeing the trade lifecycle, maintaining SEC/FINRA compliance, and supporting client onboarding from a funding perspective.

Qualifications

• Experience in a broker-dealer or financial services operations environment.
• Regulatory knowledge of SEC/FINRA regulations.
• Proficiency in MS Office, especially Excel; familiarity with industry software.
• Strong attention to detail, multitasking, and communication skills.

Responsibilities

• Oversee trade processing, confirmations, clearing, and settlement.
• Adhere to AML/KYC protocols and assist audits.
• Investigate trade breaks, resolve discrepancies, and support ACATS inquiries.
• Assist onboarding of new clients from a funding perspective.

Skills

Attention to detail

Multitasking

Communication skills

Experience in broker-dealer operations

Education

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

Tools

Excel

Trading systems

Job description

Leeds Professional Resources is seeking an Operations Associate with experience in the financial services industry to join our client's team. The role manages back-office functions that support trading, settlement, and regulatory compliance, including reconciliations, trade confirmations, and money movement (ACH/wires).

Key responsibilities include overseeing the trade lifecycle, maintaining SEC/FINRA compliance, and supporting client onboarding from a funding perspective.