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Broker Dealer Operations Analyst
Responsible for supporting institutional broker dealer operations including collateral management, TBA trading, Municipal New Issues, Fedwire processing, Equity Capital Markets, and regulatory reporting. The role also involves maintaining knowledge of operations, assisting with training, and contributing to process improvements.
Key Responsibilities
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Manage collateral for TBA trading, AOT processing, and Municipal New Issues
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Support Equity ATM/FATM and Corporate Buyback activity
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Handle regulatory reporting (TRACE, MSRB, CAT) and Fedwire requests
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Prepare procedures, job aids, and ad hoc reports
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Partner with audit/risk teams and support training/quality checks
Qualifications
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Bachelor’s degree or equivalent experience (3–5 years in brokerage operations)
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Ability to obtain FINRA SIE and Series 99 within 12 months
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Strong organizational, communication, and collaboration skills
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Series 7 a plus; Series 99 preferred