• Location: Chicago IL
• Type: Perm
• Job #23911

Company Overview:
A leading financial services firm registered with the SEC, FINRA and CFTC, providing clearing services to 26 exchanges via direct membership and parent/affiliates, is seeking an experienced leader to manage their Broker Dealer Operations team.

Job Responsibilities:

• Lead Broker Dealer Operations team.
• Work directly with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients.
• Back up daily tasks related to clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers.
• Identify, analyze, and resolve securities and option trade settlement breaks.
• Collaborate to meet regulatory guidelines & recordkeeping (FINRA, OCC, SEC, etc.).
• Assist in periodic internal and external audit examinations.
• Process creation, improvement, documentation, validation, and research related to new products.

Qualifications:

• 5+ years’ experience in a self-clearing broker-dealer with focus around securities and options.
• Experience leading a team, preferably with a self-clearing broker-dealer firm.
• Series 7; Series 4 and/or 24 preferred or to be obtained.
• Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
• Strong knowledge of SEC, FINRA, and OCC rules and regulations.
• Proficiency in Microsoft Office products, especially Excel.
• Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred.

Compensation:
Salary: $150,000 – $170,000