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Equities Trading Desk Operations Specialist (FINRA Series 7, 24, 63, 9

Company: Keywest Tech
Location: New York
Posted on: November 11, 2019

Job Description:

We are in the process of starting a new broker-dealer located in New York, our business model would involve utilizing AI to provide data, market news, quote, trading, investment tools and social platforms to our users. We would empower our users, offer them lower trading commissions, and help them lower the investment barrier and make more efficient investment decisions. Not only would we provide all-in-one financial services to our individual users, but we would also collaborate with a number of asset management companies, and help researchers and analysts conduct stock analysis, make semi-auto research reports, and make use of robo-trading. We would not only serve US customers, but also provide services internationally to help them achieve diversified asset allocation. Our mission is to build a futuristic AI investment tool to help non-professional investors reduce time and money cost, improve the ability to make a profit and control risk level.

Duties: This role will initially focus on the creation of the operations department for a new Broker-Dealer, its processes and getting into doing the day to day work for the operations dept and trade desk. This includes the understanding of brokerage rules related to the processing of new account documentation for retail and institutional clients, W8 and W9 validation and tax coding, and ongoing maintenance and support to update client's books and records but will also be exposed to cashiering, asset movement, and margin support. The focus of this role can change based on the needs of the operations team and senior management. --- Help develop a business plan for the broker-dealer with an insight to streamlining operational processes. --- Development of the operational processes and procedures --- Maintain oversight on all regulatory issues. --- Working with senior management and legal counsel on all major projects.
--- Eventually, hire and supervise the operations and client services staff

Requirements: --- 5 years of brokerage operations or related business experience --- Active Series 7, 24, 63, 99 --- Margin, ACAT, Trade Settlement Knowledge & Experience --- Broker-Dealer Operations for Equities Trading --- Operational Risk Management --- Development of Written Supervisory Procedures for Operational Duties --- Equities Trading --- Inventory and P&L Management --- Front to Back Office Reconciliations --- Cashiering, Wire and ACH processing experience --- Act as the subject matter expert for operations supporting all brokerage services. --- Ability to resolve operational and trade desk issues --- Experience with Stock Loan and Corporate actions is a plus --- Ability to multitask, prioritize, and work within a team environment --- Capable of learning new skills and systems --- Proven ability to identify and solve complex issues in a team environment working with all levels of management. --- Proven ability to manage individual and development processes --- Learn, use and support various financial products, software and systems

Keywords: Keywest Tech, New York , Equities Trading Desk Operations Specialist (FINRA Series 7, 24, 63, 9, Accounting, Auditing , New York, New York

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