Senior Operations Specialist

A financial firm is looking for a Senior Operations Specialist to join their team in New York, NY.

Compensation: $100-150K

Responsibilities:

• Manage daily institutional trade settlement activities, including DVP/RVP processing for U.S. equities and related products
• Monitor and resolve settlement exceptions, fails, DKs, unmatched trades, and reconciliation breaks
• Coordinate with custodians, counterparties, executing brokers, and clearing agents to ensure timely settlement; Oversee trade allocations, affirmations, and settlement instruction processing
• Support NSCC/DTC settlement activities and cash/securities movement monitoring
• Ensure accurate processing of institutional deliveries and receipts
• Utilize client BPS for trade processing, settlement monitoring, reconciliations, and operational reporting
• Partner with technology and operations teams to improve operational efficiency and automation
• Participate in UAT testing, workflow enhancements, and process optimization initiatives
• Maintain strong operational controls and ensure compliance with internal policies and regulatory requirements
• Assist with regulatory reporting and audit requests when needed
• Support operational aspects of SEC/Client compliance requirements related to institutional operations and clearing activities

Qualifications

Required

• 5+ years of experience in institutional brokerage operations and clearing operations
• Strong knowledge of: DVP/RVP settlement workflows, U.S. equity clearing and settlement lifecycle, Institutional trade processing, DTCC / NSCC / DTC operations, Prime brokerage operational processes
• Hands-on experience with client BPS preferred
• Experience of handling institutional settlement breaks and exception management preferred
• Strong understanding of trade allocations, affirmations, and institutional custody workflows
• Ability to work in a fast-paced trading and clearing environment
• Strong analytical, organizational, and problem-solving skills

Preferred

• Experience working at a broker-dealer, clearing firm, or prime broker

Familiarity with:

• Omgeo CTM / ALERT
• Institutional onboarding
• Client Series 7, 63, or 99 licenses preferred