Securities Operations Specialist

• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
• Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives
• exercise independent judgment related to low-to-medium risk deliverables
• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Develop expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
• Support overall effectiveness of the team according to plans
• monitor daily securities and cash related production work
• Contribute and may lead implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk

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

• IRA Operations experience
• FINRA Series 99 or Series 7 licensure
• Strong attention to detail
• Excellent written communication skills

• Equal opportunity employer
• hybrid schedule
• overtime opportunities during peak periods
• workplace accommodations for applicants with disabilities
• drug free workplace