Broker Dealer Ops Analyst 2

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Job Summary

The Broker Dealer Operations Specialist 2 supports in the day-to-day execution of institutional client onboarding, account maintenance, and asset movement activities. This role is ideal for a detail-oriented professional with experience in broker-dealer operations who thrives in a fast-paced, regulated environment.

Key Responsibilities

• Review and process institutional client onboarding requests, ensuring proper documentation for various client types (Corporation, LLC, Partnership, etc.).

• Perform AML, CIP, KYC, and OFAC screenings for new and existing clients.

• Review and approve asset movements, including ACH and Fedwire transactions.

• Process and maintain client account updates, ensuring accuracy and compliance.

• Support settlement and reconciliation activities for institutional trading products, including ICS/CDARs and Money Market Funds.

• Prepare and update operational procedures, job aids, and ad hoc reports.

• Collaborate with audit and risk teams to provide documentation and validate controls.

• Assist in training and quality assurance for new team members.

• Participate in special projects to enhance process efficiency and client experience.

Basic Qualifications

• High School Diploma or equivalent.

• 1+ year of experience in brokerage, investment operations, or institutional onboarding.

Preferred Qualifications

• Working knowledge of AML, CIP, KYC, and OFAC compliance requirements.

• Experience with wire and ACH processing and approvals.

• Familiarity with institutional or foreign client onboarding processes.

• FINRA SIE and Series 99 licenses preferred; Series 6 or 7 a plus.

• Strong organizational skills and attention to detail.

• Proficiency in Microsoft Office (Excel, Outlook, Word).

• Ability to manage multiple priorities and collaborate effectively across teams.

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