Description

You will own the daily operational lifecycle of customer funds and securities transactions, handle high-stakes exceptions, ensure audit-ready control evidence, and collaborate with engineering and external partners to improve processes.

Requirements

• 5+ years in financial operations, treasury, or back-office role (preferably carrying broker-dealer or RIA)
• FINRA SIE + Series 99 licenses
• Knowledge of SEC rules 15c3-1, 15c3-3, 17a-3, and 17a-4
• Proven ability to perform complex reconciliations and transaction research
• Comfort with analytical tools, banking/clearing technology systems, and financial data systems

Responsibilities

• Manage daily flow of customer funds and securities transactions with banking/clearing partners
• Handle high-stakes exceptions like complex stop-and-reissue checks, ACH reversals, and securities settlement breaks
• Perform daily, monthly, and quarterly reconciliations and prepare control evidence for audits
• Recommend product solutions to Engineering and Product teams for automation
• Engage with external partners to resolve operational issues