Broker-Dealer Equity Operations

We are seeking a versatile and experienced Operations Associate to join our growing team. This individual will be cross-trained across all areas of operations, including settlements, corporate actions, reconciliations, and operational controls. As the third hire within the operations team, this role offers a unique opportunity to gain broad exposure to a self-clearing broker-dealer environment and contribute to a highly dynamic, hands-on team. Key Responsibilities: Ensure accurate and timely processing of trade capture, trade allocations, and settlements across equities, options, and fixed income. Perform daily trade reconciliations, bank reconciliations, and internal operational audits to mitigate risk and ensure financial accuracy. Oversee voluntary and mandatory corporate actions, ensuring proper entitlements and allocations. Work with DTC, banking systems, and clearing platforms to manage transactions and cash movements. Utilize core clearing systems such as InteliClear (preferred) to support back-office operations. Maintain compliance with broker-dealer regulations, with a minimum Series 99 license required. Work closely with colleagues to develop expertise across all operational areas, ensuring seamless support across the firm. Qualifications: Must hold a Series 99 license (or comparable FINRA certification). Minimum of 7 years of

back-office operations experience at a small broker-dealer or clearing firm. Strong knowledge of settlements, corporate actions, reconciliations, and operational controls. Experience with equities, options, and fixed income products. Proficiency with DTC and banking systems; experience with InteliClear is a plus. Detail-oriented with strong analytical and problem-solving skills. Ability to thrive in a hands-on, fast-paced environment. Why Join Us? Small, collaborative team environment. 90% self-clearing model – unique exposure to broker-dealer operations. Competitive benefits package, including fully covered health insurance and a 401(k) with company match. Offices in the U.S., Asia, and Australia—offering global exposure. This is a fantastic opportunity to grow within a fast-moving broker-dealer while developing expertise in multiple areas of operations. If you’re a versatile, hands-on operations professional looking for a broad and impactful role, we encourage you to apply! Seniority level

Associate Employment type

Full-time Job function

Finance Industries

Financial Services and Capital Markets

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