Trading Operations Associate

Strategas Securities • New York, NY

2d • $100,000 - $140,000 • Onsite

About The Position

We are seeking a highly skilled and detail-oriented Operations Associate to join our Operations team at Baird Strategas. This individual will play a critical role in supporting daily trading operations, ensuring accuracy and efficiency across post-trade processes, and maintaining compliance with regulatory and internal controls. The ideal candidate brings prior broker-dealer operations experience, strong problem-solving abilities, and the capacity to thrive in a fast-paced, client-focused environment.

Requirements

• Minimum 2 years of experience in broker-dealer operations, capital markets operations, or a related financial services function
• Strong understanding of the equity and options trading lifecycle, including clearance, settlement, trade reconciliation, and CMTA billing
• Ability to independently investigate and resolve routine trade discrepancies
• Familiarity with clearinghouse systems (DTCC, NSCC, options CMTA) and custodial clearing processes
• Working knowledge of the FINRA/SEC regulatory framework governing broker-dealers
• Proficiency with order management and execution systems (OMS/EMS) and operational platforms (e.g., Bloomberg, FIS, Charles River, or similar)
• Strong analytical, organizational, and problem-solving skills with high attention to detail
• Ability to manage multiple priorities in a deadline-driven environment
• Excellent communication skills and ability to collaborate across front, middle, and back-office functions

Nice To Haves

• Series 7 license preferred
• Advanced Excel skills are a plus
• Experience in a boutique or mid-sized broker-dealer environment preferred
• Exposure to fixed income and derivatives is a plus
• Demonstrated ability to improve operational processes or implement workflow efficiencies
• Self-starter with a proactive mindset and strong ownership mentality

Responsibilities

• Execute and oversee daily trade support functions, including trade capture, allocation, confirmation, settlement, and reconciliation across equities and options
• Monitor trade flow and independently investigate and resolve routine trade breaks across custodians, clearing firms, and counterparties
• Coordinate with trading, sales, compliance, and finance teams to ensure accurate and timely transaction processing and issue resolution
• Support corporate actions processing, including dividends, splits, mergers, and reorganizations
• Maintain books and records in accordance with SEC/FINRA regulations and firm policies
• Assist in onboarding new client accounts, including documentation review, account setup, and KYC/AML coordination
• Identify process inefficiencies and contribute to automation and workflow improvements
• Assist with regulatory reporting, audits, and internal control testing as required
• Provide coverage for time-sensitive issues, including end-of-day processing and ad hoc operational requests

Benefits

• $100,000 - $140,000 annual salary range
• Bonus potential
• Compensation and bonus are commensurate with experience, performance and/or firm profitability
• Total Rewards at Baird

What This Job Offers

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