Share this job
Finance & Operations Specialist - Military Veterans Wanted
Irvine, CA
Apply for this job

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



Apply for this job
Powered by