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Compliance Specialist/Trade Operations

NOVON Consulting Corp.
Minneapolis, MN Full Time
POSTED ON 1/22/2025
AVAILABLE BEFORE 4/22/2025

About the job Compliance Specialist / Trade Operations

Will be onsite / hybrid in Minneapolis

W2 / USC only

Trade Operations / Compliance Specialist

  • Licenses SIE, Series 7TO, Series 63. Series 24 or willingness to obtain (Series 57 also a plus but not required)
  • Experience Trading Operations / Back Office Equities Institutional Brokerage experience preferred but not necessarily required
  • Job Duties

Assist Sales, Trading, Investment Banking personnel with the opening of new accounts primarily DVP but occasional cash / retail accounts

  • Perform initial and ongoing CIP / AML reviews
  • Interact with Clearing Broker and Order Management System (OMS) vendor
  • Manage client account relationships and allocate trades daily
  • Review and reconcile trade breaks and settlement issues
  • Assist with onboarding T 1 settlement processes, policies and procedures
  • Perform trade surveillance functions and exception report monitoring
  • Prepare daily CAIS reporting files and assist with CAIS / CAT review and reconciliation
  • Assist with Best Execution reviews prepare stats for Best Ex Committee
  • Assist with vendor management and onsite FinTech management
  • Create and maintain procedural documentation

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