Related skills
finra finop occ dtcc nscc📋 Description
- Lead clearing ops teams (New Accounts, Transfers, Treasury, Tax, Margin) for timely, compliant processing.
- Build scalable processes and tools to minimize manual work.
- Manage key vendor and partner relationships.
- Partner with Finance to maximize ROI in clearing operations.
- Partner with Product to improve customer delight and reduce support needs.
- Drive OKRs for ops efficiency and customer satisfaction; support regulatory reporting.
🎯 Requirements
- 10+ years of hands-on ops experience at a self-clearing broker-dealer.
- Proficient in FINRA, DTCC, NSCC, OCC, and SEC rules.
- Entrepreneurial attitude and deep empathy for customers.
- Expertise with financial products.
- Knowledge of securities trading processes and applicable regulations.
- Demonstrated ability to apply technology to enhance business processes.
- FINRA Series 4, 7, 63; other licenses may be needed.
🎁 Benefits
- Hybrid work schedule for in-person collaboration.
- Stunning office spaces in Culver City, SF, and Dallas.
- Competitive pay and equity for eligible positions.
- Premium health, dental, and vision insurance plans.
- 401k savings plan with a 4% match and immediate vesting.
- 16 weeks paid parental leave.
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