Brokerage Operations Associate - Equity & Fix Income
Miami, FL
Full Time
Experienced
Important Fintech in Miami is seeking a Brokerage Operations Associate who has vast knowledge in Equity & Fix Income (Municipal bonds). The ideal candidate will have a strong background in brokerage operations, a deep understanding of financial markets, and a proven track record of success in a similar role. The Brokerage Operations Associate will play a key role in optimizing operational processes, ensuring compliance with regulatory requirements, and collaborating with various internal teams.
Location: Brickell Key, Miami. 100% on-site.
Responsibilities:
Qualifications:
Location: Brickell Key, Miami. 100% on-site.
Responsibilities:
- Execute and monitor trade orders in a timely and accurate manner.
- Coordinate with trading desks and counterparties to resolve trade-related issues.
- Ensure efficient settlement of trades and reconcile discrepancies.
- Implement and maintain risk management protocols for brokerage operations.
- Monitor and analyze risk exposures, providing recommendations for mitigating risks.
- Stay up to date on regulatory changes and ensure compliance with industry regulations.
- Conduct periodic compliance audits and implement corrective actions when necessary.
- Interact with internal and external clients to address inquiries related to trades, account statements, and other operational matters.
- Collaborate with client services teams to enhance the overall client experience.
- Identify opportunities for process improvement and efficiency gains within brokerage operations.
- Implement and streamline operational procedures to enhance overall workflow.
- Generate and analyze reports related to trade activity, settlement, and risk metrics.
- Prepare regular reports for management to assess operational performance.
Qualifications:
- Bachelor’s degree in Finance, Business, or a related field.
- 3-5 years of experience in brokerage operations.
- Series 7 and 52.
- Strong understanding of financial markets, securities, and trading practices.
- Proficiency in industry-standard trading platforms and back-office systems.
- Familiarity with regulatory requirements and compliance standards.
- Excellent analytical, problem-solving, and organizational skills.
- Effective communication and interpersonal abilities.
- Ability to thrive in a fast-paced and dynamic work environment.
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