Job Responsibilities

• Monitor and assist with daily operations including clients services matters, monitoring clients trading activities and money movement.
• Help identify and draft requirements and testing plans for the development of a back-office system
• Manage/reconcile daily cash balances and oversee cash reporting and projections.
• Process fund in / out transactions for clients and brokers.
• Perform regular bank verification and global sanctions monitoring/screening checks and oversight on existing clients within the system.
• Respond to various complex operational issues for both internal and external clients.
• Responsible for daily trade settlements, resolution of issues.
• ACAT processing
• Identify and implement Operational improvements.
• Perform other duties as assigned.

Job Requirements

• Series 7 & 63 with the ability to obtain Series 24 within 6 months.
• Minimum of five years of Financial Services experience in Middle and Back-Office Operations
• Broad understanding of brokerage industry specifically Settlements, Corporate Actions, ACATs, Reconciliation and Cashiering functions and associated regulations pertaining to these areas.
• Familiarity with 15c3-3 Customer Protection rules
• In-depth knowledge related to Financial Operation workflows and best practices.
• Knowledge related to US and HK market trading and settlement.
• Knowledge of Banking rules preferred.
• Ability to help with the development and growth of team members.
• Ability to clearly and effectively present concepts or issues to groups.
• Enjoy problem solving and working as part of a team in a fast-paced environment.

Proficient in Microsoft Office.