Broker Dealer Operations, Senior Associate

📋 Description

• Own recurring broker-dealer operations workflows across areas such as reconciliations, corporate
• Perform daily reconciliations of orders, trades, positions, balances, and cash between internal
• Independently manage complex operational exceptions and time-sensitive incidents, coordinating
• Prioritize operational incidents according to customer, financial, and regulatory impact while
• Create and maintain audit-ready SOPs, runbooks, control checklists, process maps, and other
• Identify systemic failure modes and recurring operational weaknesses, leading process-improvement

🎯 Requirements

• 5+ years of experience in financial services operations, broker-dealer operations, clearing and
• Direct experience with the U.S. equities trade lifecycle, including order processing, trade
• Demonstrated ability to independently investigate and resolve complex operational issues across
• Proven experience creating or materially improving SOPs, runbooks, controls documentation, process
• Hands-on experience with clearing firm or broker-dealer platforms such as Apex Clearing, Apex
• Working proficiency with SQL, Jira, data-quality tools, workflow automation platforms, or

🎁 Benefits

• Annual base salary: $130,900–$154,000 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.