Pacifica Continental
Senior Brokerage Operations Associate
Miami, FL - Full Time
Important International Fintech is seeking a highly motivated and experienced Senior Brokerage Operations Associate to join their growing team. 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 Senior Brokerage Operations Associate will play a key role in creating, managing, and optimizing operational processes, ensuring compliance with regulatory requirements, and collaborating with various internal teams. If you are passionate about the financial industry, possess excellent organizational skills, and thrive in a fast-paced environment, we encourage you to apply.
Responsibilities:
Trade Execution and Settlement:
• 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.
Risk Management:
• Implement and maintain risk management protocols for brokerage operations.
• Monitor and analyze risk exposures, providing recommendations for mitigating risks.
Compliance:
• Stay up to date on regulatory changes and ensure compliance with industry regulations.
• Conduct periodic compliance audits and implement corrective actions when necessary.
Client Services:
• 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.
Process Improvement:
• Identify opportunities for process improvement and efficiency gains within brokerage operations.
• Implement and streamline operational procedures to enhance overall workflow.
Reporting:
• 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, 24 and 66 Required. Series 4 and/or 52 preferred
• 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.
The Senior Brokerage Operations Associate will play a key role in creating, managing, and optimizing operational processes, ensuring compliance with regulatory requirements, and collaborating with various internal teams. If you are passionate about the financial industry, possess excellent organizational skills, and thrive in a fast-paced environment, we encourage you to apply.
Responsibilities:
Trade Execution and Settlement:
• 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.
Risk Management:
• Implement and maintain risk management protocols for brokerage operations.
• Monitor and analyze risk exposures, providing recommendations for mitigating risks.
Compliance:
• Stay up to date on regulatory changes and ensure compliance with industry regulations.
• Conduct periodic compliance audits and implement corrective actions when necessary.
Client Services:
• 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.
Process Improvement:
• Identify opportunities for process improvement and efficiency gains within brokerage operations.
• Implement and streamline operational procedures to enhance overall workflow.
Reporting:
• 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, 24 and 66 Required. Series 4 and/or 52 preferred
• 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.
