Operations Associate, Client Services

About the role

The Operations Associate supports the daily activities of the Operations Department and provides operational and client service support to registered representatives and internal stakeholders. This role assists with brokerage account servicing, transaction processing, regulatory documentation, and operational controls to ensure efficient and compliant business operations.

Responsibilities

• Provide high-quality service and operational support to registered representatives, support staff, and clients
• Prepare account documentation and related account correspondence
• Open, maintain, and service brokerage accounts in accordance with firm policies and regulatory requirements
• Research and resolve customer inquiries in a timely and professional manner
• Respond to inquiries from our clearing firm regarding customer transactions and account activity
• Initiate and review requests for money movement in accordance with firm procedures and controls
• Perform margin reconciliation and assist with monitoring margin related activities
• Troubleshoot and resolve operational processing issues
• Aid in trade processing and reconcile trade-related discrepancies
• Participate in operational and service-related projects and initiatives
• Ensure required account documentation and records are maintained in accordance with firm and regulatory standards
• Support internal audit preparation and help enforce internal procedures and operational controls
• Ensure activities comply with firm policies and applicable regulatory requirements

Requirements

• High School Diploma or equivalent
• Bachelor’s degree preferred
• 2-5 years of brokerage operations or related financial services experience preferred
• Prior experience within the broker-dealer or securities industry required

Compensation and Benefits

This is a full-time position in office five days a week. Days of work are Monday through Friday during standard business hours. Regular and reliable attendance required.

Benefits include a comprehensive benefits package for employees and their families including medical and dental plans; 401(k) plan with company matching; firm-funded life and disability insurance.