Middle Office Specialist

moomoo•Dallas, TX

10h•Onsite

About The Position

Moomoo Financial Inc is a comprehensive brokerage platform that empowers proactive investors to take control of their financial future with ease and confidence. We integrate professional trading data, global financial news, a trading community, and an innovative web platform to provide users with better data, tools, and performance. Join our dynamic team at Moomoo as our Middle Office Specialist, where your passion for finance and technology can thrive. As a Middle Office Specialist, your primary responsibilities will include reviewing and conducting quality assurance check on new account applications, account maintenance, operation and risk control support, coordinating projects, and ensuring compliance with regulatory requirements. This role will be responsible for overseeing various projects aimed at increasing operational efficiency and reducing compliance risks within the organization. You will collaborate with different departments, ensuring effective communication of project goals, timelines, and deliverables. Additionally, the Middle Office Specialist will backup customer service team and collaborate with the Compliance team to identify areas for improvement and implement process enhancements.

Requirements

Bilingual English/Chinese proficiency is a plus
Bachelor’s degree in Business Administration, Finance, Economics, or a related field; advanced degrees or certifications (e.g., CFA) are preferred.
A minimum of 2 years of experience in a similar role or a combination of education and relevant experience.
Active FINRA Series 7, and 63 licenses required and Series 24 preferred
Excellent organizational and time management skills, with the ability to prioritize tasks and meet deadlines and handle multiple projects simultaneously
Strong communication and interpersonal skills, with the ability to effectively collaborate with different departments and stakeholders
Attention to detail and strong analytical and problem-solving skills
Ability to work independently and work in a fast-paced and high-pressure environment

Nice To Haves

advanced degrees or certifications (e.g., CFA) are preferred
Series 24 preferred

Responsibilities

Assist managers to update current new account policy and procedures and new account associates hiring.
Provide training and assessment to application review team. Conduct quality assurance checks on processed new account applications and profile update to ensure compliance with regulations and internal policies. Backup reviewing new account applications, account profile update and ensure accuracy and completeness before processing.
Prepare and send corporate action notices to clients, ensuring accurate and timely communication.
Coordinate the preparation and distribution of outbound group emails at firm level, maintaining professionalism and adherence to company policies.
Follow a Work Breakdown Structure (WBS) to ensure all necessary steps are completed accurately and in a timely manner for IPO projects
Assist managers to oversee various projects aimed at assisting different departments within the organization to increase operational efficiency and reduce compliance risks. Foster Cross-functional collaboration by effectively communicating project goals, timelines, and deliverables.
Assist managers in creating and updating department standard operating procedures (SOPs)
Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm’s standard operating procedures (SOPs). Maintain effective communication with clients.
Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency
Act as a backup person to provide customer service support for email inquiries and assist outbound emails sending on behalf of other departments.
Act as a backup person to coordinate business account opening process, including following up with applicants, collaborating with Compliance and AML teams, and facilitating application review and approval
Maintain book and records, ensuring accuracy and completeness of information.