Operations Specialist – Broker Dealer
Location: Irvine, CA | Reports to: Director of Operations | Status: Full-Time, Exempt | In-office (Remote may be considered)
COMPANY PROFILE:
The Operations Specialist will join the team at the securities industry’s oldest diversity-certified broker-dealer that is owned and operated by service-disabled veterans (SDV). Our core competencies include securities sales and trading (equities, options, fixed income, FX), investment banking and underwriting services for primary debt and equity capital market transactions. Our mission is to preserve and protect the interests of those that we serve. We leave no client behind.
THE ROLE YOU WILL PLAY:
We are seeking a detail-oriented Operations Specialist to join our firm. This role will report directly to the Director of Operations and be responsible for ensuring seamless trade processing, account maintenance, regulatory compliance, and various operations-related functions. This position offers an excellent opportunity for individuals with a strong operations background and a passion for the financial services industry to contribute to a dynamic and growing organization.
Key Responsibilities:
Potential Additional Responsibilities:
BACKGROUND PROFILE:
Required Competencies:
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