Broker Dealer Operations, Associate
Accountabilities: Execute daily trade, position, balance, and cash reconciliations between internal records and clearing firm records, investigating discrepancies and driving breaks through documented resolution.
Support customer account onboarding and maintenance activities, including documentation review, status tracking, follow-up, and escalation of exceptions when required.
Process inbound and outbound securities transfers, including ACATs, from initial intake and eligibility checks through submission, tracking, and resolution of exceptions.
Monitor operational alerts, queues, and exceptions, prioritizing issues according to customer and risk impact and coordinating timely remediation.
Collaborate with Engineering, Product, Trading, Customer Experience, Compliance, Finance, and external clearing partners to investigate and resolve operational issues.
Support corporate action processing by reviewing event notifications, monitoring critical deadlines, validating allocations, and investigating discrepancies following events.
Maintain accurate operational records and documentation to support controlled, repeatable, and auditable processes.
Identify recurring operational failures and data-quality issues, investigate root causes, and recommend practical improvements to strengthen efficiency and reliability.
Contribute to initiatives that reduce manual work, shorten resolution times, improve operational controls, and enhance customer outcomes.
Use generative AI responsibly, maintaining appropriate human oversight while applying technology to improve workflow efficiency, cost, and quality.
Requirements
2+ years of experience in financial services operations, brokerage operations, clearing and settlement, trade support, or a related operational control function.
Working knowledge of the U.S. equities trade lifecycle, including order processing, settlement, positions, cash movements, corporate actions, and securities transfers.
Demonstrated experience investigating data breaks, reconciliation discrepancies, operational exceptions, or similar issues across multiple systems and driving them to documented resolution.
Ability to consistently follow established procedures in a regulated environment while exercising sound judgment when situations fall outside existing runbooks.
Familiarity with clearing platforms such as Apex Clearing or equivalent brokerage systems.
Working knowledge of Jira, SQL, workflow automation tools, or similar technologies used in financial operations is preferred.
Strong attention to detail and accuracy, particularly when working with financial data, customer accounts, transactions, and operational controls.
Strong analytical and problem-solving abilities, with the capacity to investigate issues systematically and identify practical solutions.
Effective communication and collaboration skills, with the ability to coordinate across operational, technical, compliance, and business teams.
Ability to manage multiple priorities in a fast-paced environment while maintaining quality, documentation standards, and regulatory discipline.
Demonstrated willingness and ability to use generative AI responsibly, with human oversight, to produce business-ready outputs and improve operational workflows.
Benefits
Annual base salary: $121,410–$127,800 USD , excluding equity and bonus.
Total compensation may also include equity and bonus eligibility.
Medical, dental, and vision plans with employee contribution support.
Health Savings Account (HSA) with company contributions each pay period.
Disability and life insurance.
401(k) plan with company matching.
Wellness stipend.
Mobile and internet reimbursement.
Volunteer Time Off.
Fertility counseling and benefits.
Generous time-off and leave policy.
Option to receive compensation in digital currency.
Remote work opportunity within the United States.
Opportunity to build expertise across brokerage operations, clearing and settlement, financial controls, and technology-enabled workflows.
Cross-functional exposure to Engineering, Product, Trading, Customer Experience, Compliance, Finance, and external clearing teams.
How Jobgether works: We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team. We appreciate your interest and wish you the best! Why Apply Through Jobgether?
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