Operations Generalist – Possible Operations Manager recruitment

Qualifications:

- Must have experience with listed and Nasdaq trading in a high frequency trading environment.
- Must be fluent in the following areas:

     • CNS Reconciliation

     • DTC/NSCC Reconciliation

     • Stock Record “Out of Balance”, “Aged Fails”, and “Fail Control”

     • Loanet

     • OATS Monitoring and Reporting

     • Reg-Sho Review (Aged Fails and Buy-In)

     • P S

     • Cash Management

     • Back Office Self-clearing systems

     • Blue Sheet Filing

     • Margin

     • 5 – 10 years operations experience (preferably in a heavy trading environment)

- Must possess series 7, 24, and 63 licenses.
- Series 27 a plus

Responsibilities Include:

- Work within [or “Oversee”] the firm’s operations unit to ensure daily processing and reconciliation takes place in a timely and compliant manner.

- Work closely with all areas of the firm (accounting, IT, Compliance and Trading) to improve operational processes and ensure daily compliance with all regulatory rules and regulations.

- Perform daily, weekly and monthly reviews to insure proper monitoring and exception reporting are conducted within the unit.
- Work closely with external vendors including; Clearing and Settlement Bank, DTC/NSCC, CNS, etc.
- Make suggestions for amending firm’s Written Supervisory Procedures as necessary to conform to new regulations.
- AML experience required

- Excellent written and verbal communication skills.
- Strong organizational skills and project management skills.