Operations Specialist – Broker Dealer (Military Veterans Encouraged to Apply)
Location: Irvine, CA (Hybrid flexibility, but prefers in-person presence)
Industry: Financial Services / Broker Dealer
Reports To: Director of Operations
ABOUT THE ROLE
Join a dynamic and growing broker-dealer operation supporting institutional trading in equities, fixed income, options, and foreign exchange. This role is ideal for military veterans or experienced financial operations professionals who thrive in a fast-paced, mission-driven environment.
As the Operations Specialist, you will play a pivotal role in trade processing, regulatory reporting, client service, and operational efficiency. You will work closely with the Director of Operations to ensure accurate and compliant execution of firm-wide operational activities.
Responsibilities:
Trade Processing & Reconciliation
- Upload and reconcile trades across asset classes: FX, equities, options, and fixed income
- Allocate trades and address discrepancies with clearing firms
- Maintain and submit monthly trade confirmations, blotters, and reconciliation reports
Settlement & Client Support
- Coordinate timely trade settlements with counterparties and clearing agents
- Provide responsive and proactive client support on trade execution and account activity
Regulatory Reporting
- Prepare and review reports for TRACE, MSRB, CAT, CAIS, and other regulatory filings
- Ensure compliance with FINRA, SEC, and industry standards
Operational Excellence
- Support cross-functional initiatives involving data analysis, reporting, and margin monitoring
- Identify and implement workflow improvements to reduce risk and increase efficiency
Additional (Optional) Responsibilities
- Onboard and maintain client accounts in compliance with AML, OFAC, and KYC requirements
- Monitor counterparty credit limits
- Track and reconcile soft dollar/CSA arrangements with clients and aggregators
REQUIREMENTS & QUALIFICATIONS
Preferred Background:
- Bachelor’s degree in Finance, Accounting, Business Administration, or related field
- Minimum 2 years’ experience in broker-dealer or financial operations
Technical Skills:
- Advanced Excel (VLOOKUP, PivotTables), Word, Outlook
- Experience with Access, SQL, and/or Python for data analysis
- Familiarity with Bloomberg TOMS, Newport/Instinet, clearing broker platforms
Licensing (Preferred, not required):
- SIE, Series 7, Series 63
- Series 99 (may be required depending on role evolution)
Key Attributes:
- Military background strongly encouraged
- Strong attention to detail and analytical skills
- Excellent communication and follow-through
- High level of organization, time management, and adaptability
WHY JOIN
- Mission-driven team with a strong appreciation for veteran talent
- High-impact role with visibility across operations and trading
- Opportunity to grow with a respected and compliant broker-dealer
- Competitive compensation and benefits in a collaborative, in-person environment