Securities Operations Associate

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Assist in gathering data to support resolution of issues
• review and analyze functional operational tasks that require research and evaluation
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Client Account Maintenance
• Client Onboarding & Documentation
• Data Management & Quality Control
• Operational Support for Brokerage Services
• Regulatory & Compliance Adherence
• 5+ years of experience in securities market operations, brokerage services, client servicing, or related financial services roles
• Strong working knowledge of securities markets, brokerage operations, account lifecycle management, and client servicing processes
• Familiarity with KYC, AML, regulatory, and compliance requirements related to brokerage accounts
• Experience working with client data management systems, brokerage platforms, and operational workflows
• Strong attention to detail, analytical skills, and the ability to manage multiple priorities in a fast-paced environment
• Effective communication skills for coordinating with internal teams and responding to client-related queries
• Experience in global or regional brokerage operations (equities, derivatives, or other securities)
• Exposure to regulatory frameworks and audits related to securities markets
• Prior experience in process improvement or operational optimization initiatives