Sr Service Ops Specialist

Ameriprise Financial Services, LLC•Minneapolis, MN

About The Position

We are seeking a detail‑oriented and highly organized professional to support our clearing and operational functions as a key member of the team. In this role, you will be responsible for the daily balancing of OCC positions, monitoring trade activity for accuracy, and ensuring timely and accurate clearing of trades through DTCC/CNS. You will also manage the pledge of securities to the OCC and oversee critical processing activities including ESO and 10b5‑1 transactions. This position plays an essential role in maintaining strong internal and external business partnerships, supporting our OCC relationship, and staying current on regulatory developments, technology updates, and project initiatives that impact the business. The ideal candidate is a strong communicator with the ability to effectively interact and communicate with executive leadership. #S&O

Requirements

Active FINRA Series 7 license
Excellent communication and relationship management skills.

Nice To Haves

FINRA Series 24
FINRA Series 4

Responsibilities

Responsible for ESO and 10b51 processing
Responsible for daily balancing of OCC positions and monitor trade activity for errors.
Responsible for clearing of trades via DTCC/CNS and pledge securities to OCC.
Maintain strong internal and external business partnerships.
Supports the OCC relationship, stays close to regulatory changes, tech updates (projects) etc.
Ability to effectively communicate to executive leadership