Operations Associate – Terrific Firm, Role and Benefits

Join a very dynamic, well-established Broker-Dealer client of ours that offers a diverse array of products and services within financial services.

Our client is seeking an experienced (2+ years) Operations Associate to join their large and active Operations team in Miami.

This position's primary responsibilities are with Asset Movement, New Accounts, and Account Maintenances.

Responsibilities

• Assist with B-D's asset movement processes. 
• Assist with the review of new account opening documentation to ensure compliance with regulatory standards and the organization's policy.
• Evalute the plausibility of SOWs and financial information.
• Work with custodians to understand and update their requirements for account opening processes.
• Work with clients on any missing documentation and prepare status reports. 
• Process client requests with regards to personal information, financial data and asset movement requests.
• Liaise between the custodian and both clients & advisors.

Qualifications

• 2+ years of industry related experience (required).
• Bachelor's degree in business administration or related field preferred.
• FINRA Series 99 or Series 7 licenses desired.
• Previous experience with Pershing's NetX360 is a plus. 
• Strong knowledge of Excel, Word and Powerpoint
• Strong understanding of asset movement processes and broker-deaker compliance and documentation
• Strong organizational, communication, and problem-solving skills.
• Ability to work under pressure and time-bound projects. 

This role provides an excellent opportunity to grow with an established player in the Broker-Dealer space, where your contributions will have direct impact on the Operations team's success and development.

All applications will be handled with complete confidentiality and will never be shared with any third-parties without your explicit consent.

Ascendo is a certified minority owned staffing firm, and we welcome and celebrate diversity. Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, parental status, military service or any other characteristic protected by federal, state or local law.

Contact information

Tim Parker