Brokerage Operations Manager

Job Description Third Party Trade LLC Our growing Fintech seeks an experienced Brokerage Operations Manager to join our team for our broker-dealer subsidiary, Third Party Trade LLC. You’ll be working with an awesome team of self-starters helping to power the next generation of financial applications. Responsibilities Monitor and review daily reports, and evaluate findings using AML/KYC/CIP procedures. Review that corporate actions are processed correctly, resolve trade errors, identify suspense positions, etc. Provide oversight of policies and procedures. Interface with clearing firm to review trade reports, quarterly trade activity, and open new accounts. Provide support to clients and end-customers. Review incoming deposits and approve withdrawal requests Manage special projects as needed including assisting with due diligence requests or accounting research on potential transactions. Assist with the financial compliance notices, examinations and inquiries for SEC and/or FINRA. Requirements Preferred Licenses: Series 99, Series 7 or 65 (or obtain within 120 days of hire) 1-3 years of finance/brokerage experience Ability to quickly learn proprietary web-based account services applications Appreciation for compliance and adherence to government regulations Effective verbal and written communication skills Nice to Have Series 24 license Experience leading projects. Experience working with a Registered Investment Advisor (RIA) or Introducing Broker-Dealer (experience working with a Full Carrying or Clearing Broker-Dealer preferred). SEC/FINRA regulatory and compliance knowledge. Excellent research skills including experience with online search tools. What We Offer Competitive compensation A comprehensive benefits package The chance to power new and innovative investment products and democratize investing. Additional Information All your information will be kept confidential according to EEO guidelines.