Brokerage Operations Margin (ACATS)

permanent

Fully Remote

Only accepting applications from: United States

Work with and provide assistance to internal and external customers on Account Transfer Requests.
Assist with rebuilding and formalizing procedures for the transfer process.
Process ACAT transfers in/out activity and prepare for the transition to self-clearing in DTCC.
Handle communications with Contra firms and Transfer Agents.
Process Mass Account Transfers/Conversions.
Serve as the firm's Subject Matter Expert on Transfers.
Research and respond to inquiry tickets regarding Account Transfers.
Ensure ACAT requests are processed within timelines and industry guidelines.
Identify documentation/processing irregularities and outline corrective measures.
Assist with documenting procedures and updating processes.
Process ACAT free deliveries and fail reversals.
Work cross-functionally to create efficient operational processes.
Drive continuous operational improvement and update the control framework.
Support business unit management with policy frameworks.
Assist in the automation of daily self-clearing processes.
Prepare summary documentation/work papers for special projects.
Participate in projects as needed.
Perform other duties and responsibilities as assigned.

Experience

2+ years of ACATS experience
Knowledge of Brokerage Clearing operations
Knowledge of Financial industry rules, regulations and laws
General knowledge of U.S. securities back office operations
Excellent written and verbal communication skills
Ability to work independently with attention to detail
Provide insights for improving client experience and efficiency
Ability to work independently in a fast-paced environment
Must follow company tenets: Stay Curious, Have Empathy, Be Accountable
Be able to work in a remote environment
Basic knowledge of SQL or other database coding language
Ability to adapt between Microsoft and Google document solutions
Flexibility to assist other functional areas
Support department initiatives and company vision
Possession of a Series SIE and 99 or higher securities license or achieve a passing result within first 180 days