Securities Processing Associate Ops

Janney Montgomery Scott LLC • Philadelphia, PA

16h

About The Position

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.
The Securities Processing Associate provides professional-level support for all securities processing activities within Operations. This position works closely with internal Operations teams and field personnel to ensure timely and accurate handling of physical securities, transfer instructions, and position-related updates. Responsibilities include processing physical certificates, coordinating free deliveries, executing DRS (Direct Registration System) transfers, and ensuring all securities-related inquiries are addressed promptly and professionally.
What you are good at:
Attention to Detail: Ensures accuracy and thoroughness in all securities processing functions.
Accountability: Takes ownership of tasks, deadlines, and quality of work.
Client Focus: Provides outstanding service to internal partners and branches.
Teamwork & Collaboration: Works effectively with team members to ensure operational consistency.
Process Orientation: Follows established procedures while identifying areas for enhancement.
Critical Thinking: Analyzes issues, identifies root causes, and implements solutions.

Requirements

• At least 1–2 years of industry-related experience, preferably in securities operations, transfers, or processing.
• Series 99 and SIE required within 120 days of employment
• Self-directed with strong organizational skills and the ability to prioritize multiple tasks.
• Adaptability and ability to work effectively in a changing environment.
• Strong problem-solving skills with a proactive approach to issue resolution.
• Ability to identify and recommend process improvements.
• Proficiency with Microsoft Office applications and ability to learn new systems quickly.
• Strong written, verbal, and interpersonal communication skills.
• Ability to demonstrate Janney values and maintain high standards of client service.

Responsibilities

• Process physical security certificates, including receipt, verification, proper endorsement review, submission to transfer agents, and timely follow-up.
• Handle Free Deliveries, ensuring accurate instructions, proper approvals, and timely settlement.
• Execute Direct Registration System (DRS) transfers, including initiation, monitoring, and reconciling transfer outcomes.
• Monitor and respond to all securities-related inquiries from branches and internal teams in a professional and timely manner.
• Support posting of proceeds from transfer agents, corporate actions, and other securities-related transactions.
• Maintain accurate records related to physical securities, deliveries, and transfers in accordance with firm procedures and regulatory requirements.
• Identify opportunities for process improvements and contribute to workflow enhancement initiatives.
• Provide project coordination or task-driven support to the Department as needed.
• Crosstrain with other Associates and Senior Associates to ensure adequate coverage for critical functions.
• Participate in assigned projects and department initiatives.
• Other duties as assigned

Benefits

• Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.
• Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.
• Fostering a positive workplace experience remains a top priority. We’ve earned the Great Place to Work® certification, which recognizes employers that create an outstanding employee experience. Based entirely on what current employees say about their experience working at Janney, this prestigious recognition underscores our commitment to our people and culture.
• People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.
• Janney is an equal opportunity employer and makes employment decisions on the basis of merit and business needs.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed