HEITMEYER CONSULTING INC
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Job Summary
The
Broker Dealer Operations Specialist 2
supports in the day-to-day execution of
institutional client onboarding, account maintenance, and asset movement activities . This role is ideal for a detail-oriented professional with experience in broker‑dealer operations who thrives in a fast‑paced, regulated environment.
Key Responsibilities
Review and process
institutional client onboarding
requests, ensuring proper documentation for various client types (Corporation, LLC, Partnership, etc.).
Perform
AML, CIP, KYC, and OFAC screenings
for new and existing clients.
Review and approve
asset movements , including
ACH and Fedwire
transactions.
Process and maintain client account updates, ensuring accuracy and compliance.
Support settlement and reconciliation activities for
institutional trading products , including
ICS/CDARs
and Money Market Funds.
Prepare and update
operational procedures, job aids, and ad hoc reports .
Collaborate with
audit and risk
teams to provide documentation and validate controls.
Assist in
training and quality assurance
for new team members.
Participate in
special projects
to enhance process efficiency and client experience.
Basic Qualifications
High School Diploma or equivalent.
1+ year
of experience in
brokerage, investment operations, or institutional onboarding .
Preferred Qualifications
Working knowledge of
AML, CIP, KYC, and OFAC compliance
requirements.
Experience with
wire and ACH processing and approvals .
Familiarity with
institutional or foreign client onboarding
processes.
FINRA SIE and Series 99
licenses preferred; Series 6 or 7 a plus.
Strong organizational skills and attention to detail.
Proficiency in
Microsoft Office
(Excel, Outlook, Word).
Ability to manage multiple priorities and collaborate effectively across teams.
To Apply for this Job Click Here #J-18808-Ljbffr
Broker Dealer Operations Specialist 2
supports in the day-to-day execution of
institutional client onboarding, account maintenance, and asset movement activities . This role is ideal for a detail-oriented professional with experience in broker‑dealer operations who thrives in a fast‑paced, regulated environment.
Key Responsibilities
Review and process
institutional client onboarding
requests, ensuring proper documentation for various client types (Corporation, LLC, Partnership, etc.).
Perform
AML, CIP, KYC, and OFAC screenings
for new and existing clients.
Review and approve
asset movements , including
ACH and Fedwire
transactions.
Process and maintain client account updates, ensuring accuracy and compliance.
Support settlement and reconciliation activities for
institutional trading products , including
ICS/CDARs
and Money Market Funds.
Prepare and update
operational procedures, job aids, and ad hoc reports .
Collaborate with
audit and risk
teams to provide documentation and validate controls.
Assist in
training and quality assurance
for new team members.
Participate in
special projects
to enhance process efficiency and client experience.
Basic Qualifications
High School Diploma or equivalent.
1+ year
of experience in
brokerage, investment operations, or institutional onboarding .
Preferred Qualifications
Working knowledge of
AML, CIP, KYC, and OFAC compliance
requirements.
Experience with
wire and ACH processing and approvals .
Familiarity with
institutional or foreign client onboarding
processes.
FINRA SIE and Series 99
licenses preferred; Series 6 or 7 a plus.
Strong organizational skills and attention to detail.
Proficiency in
Microsoft Office
(Excel, Outlook, Word).
Ability to manage multiple priorities and collaborate effectively across teams.
To Apply for this Job Click Here #J-18808-Ljbffr