Broker Dealer Operations Analyst Job at Phillip Capital Inc., Chicago, IL

R0hjVm1WaUt6Rm9YMGxhdHFrb3pONFJEWHc9PQ==
  • Phillip Capital Inc.
  • Chicago, IL

Job Description

Broker Dealer Operations Analyst (Hybrid Position - Chicago)

About Phillip Capital Inc.

Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the company. We believe in integrity, accountability, open communication, and continual improvement to build for the long term.

We are seeking an experienced professional with a background in clearing, settlement, and custody of securities and options in a self-clearing capacity. This is an exciting opportunity for someone who possesses a deep understanding of clearing and settlement and would enjoy working with a growing securities operations team to help drive the company forward.

Responsibilities

  • Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, with a focus on custodian services, operating and supervisory procedures, and daily reconciliations.
  • Back up daily tasks related to clearing, settlement, pledging, exercise & assignment, expiration processing, corporate actions, and position transfers.
  • Domain expertise to identify, analyze, and resolve securities and option trade settlement breaks.
  • Collaborate to meet regulatory guidelines & recordkeeping (FINRA, OCC, SEC, etc.).
  • Assist in periodic internal and external audit examinations.
  • Process creation, improvement, documentation, validation, and research related to new products

Qualifications

  • 3+ years’ experience in a self-clearing broker-dealer with focus around securities and options.
  • Series 7; Series 4 and (or) 24 preferred or to be obtained.
  • Knowledge of Regulation T, FINRA Rule 4210, SEC Rule 15c3-3, and 15c3-1, Rule 6.
  • Strong analytical skills and ability to recognize and mitigate issues with process and tools.
  • Strong knowledge of SEC, FINRA, and OCC rules and regulations.
  • A strong level of proficiency in Microsoft Office products, especially Excel.
  • Ability to efficiently handle a multitude of tasks while maintaining a low error rate.
  • Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred.
  • Strong attention to detail, time management, and solid communication/organization skills.
  • Absolute integrity and ability to recognize and learn from mistakes.

To be considered for this position, please apply via LinkedIn or Indeed or submit a resume directly to careers@phillipcapital.com with “Broker Dealer Operations Analyst” in the subject line. Phillip Capital Inc. will not consider candidates sent by recruiters for this position.

Job Tags

Work experience placement,

Similar Jobs

eCosmetics.com

Junior Administrative & Accounting Assistant (Entry Level) Job at eCosmetics.com

 ...Administrative & Accounting Assistant to support our finance and operations teams. This is a great opportunity to gain hands-on experience in accounts payable, vendor relations, and general administrative support in a fast-paced eCommerce environment. No prior accounting... 

Cinq à Sept

Sales Specialist (Fashion Island) Job at Cinq à Sept

 ...About Cinq Sept cinq sept sankahset skeset n : The time between late afternoon and early evening when streets are awash in...  ...Specialist who is passionate about people and fashion to join our team part time. This person should be a team player that thinks outside of... 

Kaiser Permanente - Washington Permanente Medical Group

Urgent Care Physician Assistant - Hourly Locum Job at Kaiser Permanente - Washington Permanente Medical Group

 ...and independent multi-specialty group practice, providing care to the more than 700,000 Kaiser Permanente patients in Washington...  ...Permanente Medical Group- is seeking a part-time 0.1 FTE Urgent Care Physician Assistant, hourly locum to join our Capitol Hill Campus team in... 

Hogan & Vandenberg

Bilingual Legal Receptionist/Administrative Legal Assistant Job at Hogan & Vandenberg

!!! IMMEDIATE HIRE !!! Job Summary: The Receptionist will greet, assist, and provide direction and information to clients, visitors...  ...clerical procedures and systems Proficient with Microsoft Office Suite or related software MS Office and Excel required Ability... 

Compunnel Inc.

Financial Planning Analyst Job at Compunnel Inc.

 ...: ~ A minimum of a Bachelors Degree. ~3 or more years' experience working on Finance or Shared Service projects. ~ General accounting experience with Shared Services (Close/Record to Report). Required Skills: Functional Finance (FICO) system knowledge of...