We are seeking an operations manager with a Series 99 for a client of ours to join an international broker-dealer. The ideal candidate must have experience with the following:

• TRACE reporting of fixed income trades through brokerage platform, managing any trade corrections.
• Ensure that settlements of fixed income trades take place on time, troubleshooting any mismatches as necessary or appropriate.
• Ensure completeness and accuracy of trade blotters.
• Monitor compliance with counterpart trading limits.
• Setup DVP accounts.
• Review securities trades for quality and adequate supporting documentation. Manage any resulting discrepancies.
• Management of incoming and outgoing securities transfers (bonds, funds, shares, hedge funds) from beginning to end.
• Management of RVP and DVP orders.
• Support other Operations functions by setting up and providing online access to clients’ accounts, ordering credit cards and checks for private banking clients, and processing wire transfers.
• Other duties and projects as assigned or requested by supervisor.
• Monitor client items for attention on brokerage platform.
• Monitor Margin call and Corporate actions.
• Client onboarding process: account opening (KYC review, due diligence process).

Requirements

• 3+ years within Operations in a RIA/Broker Dealer.
• Bilingual - English & Spanish
• Series 99 License
• Degree in a related field

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.