Brokerage Operations Associate

moomoo • Jersey City, NJ

4d • $70,000 - $140,000

About The Position

We are seeking a highly analytical and detail-oriented Broker Dealer Operations Control Associate to join our team. In this role, you will play a critical part in maintaining operational integrity, ensuring compliance with regulatory standards, and mitigating risk within broker-dealer operations. You will collaborate with various teams to oversee trade settlements, reconciliations, regulatory reporting, and internal audits, ensuring seamless day-to-day operations.

Requirements

• Bachelor's degree in Finance, Business, Economics, or a related field.
• 5+ years of experience in broker-dealer operations, risk management, self-clearing or introducing broker model
• Strong understanding of FINRA, SEC, and other regulatory guidelines.
• Excellent analytical skills and attention to detail.
• Proficiency in Microsoft Excel, data analytics tools, and trade settlement platforms.
• Strong problem-solving abilities and ability to work in a fast-paced environment.
• Effective communication skills and ability to collaborate across teams.

Responsibilities

• Monitor and evaluate broker-dealer operational processes to identify potential risks and ensure compliance with regulatory requirements.
• Conduct trade reconciliations and settlement oversight to maintain accuracy and efficiency.
• Assist with internal audits and regulatory reporting, collaborating with compliance teams to ensure adherence to FINRA, SEC, and other industry regulations.
• Develop and implement operational control procedures to mitigate risk and enhance efficiency.
• Investigate discrepancies, trade breaks, and operational issues, resolving them in a timely manner.
• Work closely with front-office, back-office, and compliance teams to optimize operational workflows.
• Maintain up-to-date knowledge of market developments, industry regulations, and operational best practices.

Benefits

• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success
• Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $70,000 - $140,000. This role is also eligible to participate in our discretionary bonus plan.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level