Dawn Taylor Associates, Inc.
Trading Operations Senior Associate
Dawn Taylor Associates, Inc., New York, New York, us, 10261
Our client, an international broker dealer, is seeking a Trading Operations Senior Associate for their midtown NYC office.
This position offers the opportunity to work in a fully remote 1-10pm / 2-11pm EST schedule or a rotational, remote schedule 1-10/2-11pm EST every third week of the month.
Position entails overseeing daily operation, providing comprehensive support to clients through the entire trade lifecycle, training staff, and ensuring the efficient and accurate processing of trades.
Responsibilities
Ensure timely client account allocations and bookings via CTM, Fix Allocation, or manual processes for both domestic and international trades, followed by delivery
Provide clients with prompt and accurate trade confirmation
Manage the complete lifecycle of client/broker trades, from booking and matching to settlement through global clearing networks
Maintain accurate client data across all global markets, including client settlement instructions and commission rates
Perform daily reconciliations of recorded trades (e.g., 15a6 trades), matching SYN vs. Phase3, and ensuring proper trade to settlement
Record Fixed Income and US Treasuries trades in accordance with regulatory requirements (TRACE)
Provide US Treasury trade confirmation
Manage new client account openings, including sub-accounts and managed funds
Raise JIRA tickets and continue UAT and regression testing to delivery
Monitor penalty claims, buy-in charges, corporate actions adjustments, and pending USD cash payments
Requirements
Bachelor’s degree in finance or related major
5-10+ years of trading operations experience, with background in Asia, Americas, and European markets
FINRA Series 7 or SIE and the Series 99 licenses
In‑depth understanding of global market settlement processes and client trade support functions
Client-focused with excellent verbal and written communication skills
Compensation: $100,000-$120,000 + bonus and comprehensive benefits package
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This position offers the opportunity to work in a fully remote 1-10pm / 2-11pm EST schedule or a rotational, remote schedule 1-10/2-11pm EST every third week of the month.
Position entails overseeing daily operation, providing comprehensive support to clients through the entire trade lifecycle, training staff, and ensuring the efficient and accurate processing of trades.
Responsibilities
Ensure timely client account allocations and bookings via CTM, Fix Allocation, or manual processes for both domestic and international trades, followed by delivery
Provide clients with prompt and accurate trade confirmation
Manage the complete lifecycle of client/broker trades, from booking and matching to settlement through global clearing networks
Maintain accurate client data across all global markets, including client settlement instructions and commission rates
Perform daily reconciliations of recorded trades (e.g., 15a6 trades), matching SYN vs. Phase3, and ensuring proper trade to settlement
Record Fixed Income and US Treasuries trades in accordance with regulatory requirements (TRACE)
Provide US Treasury trade confirmation
Manage new client account openings, including sub-accounts and managed funds
Raise JIRA tickets and continue UAT and regression testing to delivery
Monitor penalty claims, buy-in charges, corporate actions adjustments, and pending USD cash payments
Requirements
Bachelor’s degree in finance or related major
5-10+ years of trading operations experience, with background in Asia, Americas, and European markets
FINRA Series 7 or SIE and the Series 99 licenses
In‑depth understanding of global market settlement processes and client trade support functions
Client-focused with excellent verbal and written communication skills
Compensation: $100,000-$120,000 + bonus and comprehensive benefits package
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