Senior Associate, Trading Operations (Broker Dealer)

Location: Remote – US-based candidates only, no visa sponsorship available

About the role

This role will lead operational priorities where safety, quality, compliance, and execution discipline are central to success. You will collaborate with field leadership, support functions, and cross-functional stakeholders to improve accountability, service delivery, and operational consistency. The position offers the opportunity to influence operational scale, customer outcomes, and organizational performance within a regulated financial services environment.

Responsibilities

• Execute daily workflows for trade operations, ensuring compliance and accuracy
• Ensure timely settlement of trades and manage trade break resolutions
• Maintain accurate positions, cash balances, and broker data across systems
• Monitor and process all types of corporate action events efficiently
• Support account maintenance and review trading eligibility
• Collaborate with various teams for regulatory reporting and system enhancements
• Identify operational risks and contribute to process improvement initiatives
• Assist with internal audits, regulatory exams, and control testing

Qualifications

• Bachelor's degree in Finance, Economics, or related field
• Minimum of 4 years in brokerage or trade operations
• Knowledge of FINRA/SEC regulations for broker-dealers
• Strong attention to detail and analytical skills
• Intermediate-advanced proficiency in Excel/Google Sheets
• Intermediate SQL skills; able to manage large data sets
• FINRA Series 99 required, Series 7 and 63 preferred

Pay

$99,400 – $142,000 annually

Benefits

• Competitive starting pay and annual discretionary bonus
• Long-term equity incentive for new hires
• Comprehensive health plans and 401K with matching contributions
• Paid parental leave and flexible time off policies
• Hybrid work model allowing remote options