Job Description
Contract to Hire
Onsite 4 days a week in Columbus, OH
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.
Job Tags
Contract work, Work at office,