Sr Associate, Brokerage Operations
$67,500–$111,500 year
HybridChicago, Illinois, United States
Job Summary
Process trades from book-out through settlement and reconciliation for the global brokerage business, solving straightforward problems and analyzing solutions using technical judgment. Maintain high-quality procedure documentation, assist in training new starters, and provide informal guidance to team members. Work within established guidelines to impact customer, operational, and service activities with moderate financial and client impact. Requires FINRA licenses (99; 7 and 63 preferred or obtainable within 90 days), a college degree, and prior financial operations experience. Hybrid schedule with moderate guidance and on-call rotation.
Required Qualifications
- College or University degree
- Relevant work experience
- Prior industry experience, preferably in a financial operations role
- FINRA license 99
- FINRA license 7
- FINRA license 63
- Ability to obtain FINRA licenses 7 and 63 within 90 days
- Understanding of regional regulatory requirements
- Hybrid working model availability
Desired Qualifications
- Specific brokerage operations knowledge or expertise typically gained through formal education or equivalent experience
- Expanded conceptual knowledge in own job discipline
- Understanding of key business drivers
- Ability to explain complex information to others in straightforward situations
- Ability to provide informal guidance to new team members
- FINRA license 99 preferred
- FINRA license 7 preferred
- FINRA license 63 preferred
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