Senior Institutional Operations Specialist

A growing financial services firm is seeking a Senior Institutional Operations Specialist to support its institutional brokerage and clearing platform.

This role will be responsible for managing post-trade operations, institutional settlements, and clearing activities while partnering closely with trading, compliance, finance, custodians, and institutional clients.

Responsibilities

• Manage daily DVP/RVP settlement activities for institutional equity transactions.
• Monitor and resolve settlement exceptions, fails, DKs, unmatched trades, and reconciliation breaks.
• Coordinate with custodians, counterparties, executing brokers, and clearing firms to ensure timely settlement.
• Oversee trade allocations, affirmations, and settlement instruction processing.
• Support DTCC, NSCC, and DTC-related settlement activities.
• Utilize Broadridge BPS for trade processing, settlement monitoring, reconciliations, and reporting.
• Partner with internal teams to improve operational efficiency, controls, and processes.
• Assist with audits, regulatory requests, and operational risk management initiatives.

Qualifications

• 5 years of institutional brokerage, clearing, or securities operations experience.
• Strong knowledge of DVP/RVP settlement workflows and the U.S. securities settlement lifecycle.
• Experience with DTCC, NSCC, and DTC operations.
• Familiarity with trade allocations, affirmations, institutional custody, and exception management.
• Hands-on experience with Broadridge BPS strongly preferred.
• Strong analytical, problem-solving, and communication skills.
• Experience with a broker-dealer, clearing firm, or prime brokerage platform.
• Familiarity with Omgeo CTM and ALERT.
• FINRA licenses (Series 7, 63, or 99) are a plus.

This is an excellent opportunity to join a growing platform and play a key role supporting institutional trading operations within a fast-paced, collaborative environment.

Hybrid Onsite