Team Lead – Operations, Neurology
WashU IT
Senior Associate, Broker Dealer Operations
Coinbase
full-time
Posted on:
Location Type: Remote
Location: Remote • California • 🇺🇸 United States
Visit company websiteSalary
💰 $130,900 - $154,000 per year
Job Level
Senior
About the role
- Act as a key member of the Broker Dealer Operations team, contributing to the accuracy, efficiency, and integrity of operational processes
- Perform daily processes including management of exceptions and resolutions, cash and position reconciliations, and promptly resolving breaks, fails, or discrepancies in trades
- Review operational data and clearing/settlement information to ensure consistency with internal records and escalate issues as needed
- Accurately set up and maintain customer accounts, including KYC/AML onboarding, account updates, and regulatory compliance
- Support the processing of corporate actions to ensure entitlements are properly allocated and communicated to clients
- Responsible for the preparation and submission of regulatory reports (e.g., CAT, TRACE) in collaboration with Compliance and Legal
- Maintain and update internal controls, procedures, and policy documentation
- Partner cross-functionally with Risk, Finance, Compliance, Product, and Engineering to support operational requirements for new product launches, process enhancements, and system changes
- Identify opportunities for automation and process improvements to reduce manual work and mitigate risk
- Design and implement the monitoring of operational and risk metrics, and preparing reporting and insights for leadership
Requirements
- 5+ years of financial services experience with at least 2+ years in broker-dealer operations; corporate actions experience strongly preferred
- Strong knowledge of U.S. equities operational workflows, with familiarity in securities clearing, settlement, margin, and custody
- Solid knowledge of broker-dealer regulatory requirements and reporting practices
- Demonstrated ability to work independently, prioritize issues, and resolve complex exceptions in a timely manner
- Experience collaborating with third-party vendors or clearing/settlement partners
- Exceptional organizational and problem-solving skills with high attention to detail
- Excellent verbal and written communication skills, with the ability to work collaboratively across teams
- Track record of improving processes, enhancing controls, and supporting operational risk reduction.
Benefits
- bonus eligibility
- equity eligibility
- benefits (including medical, dental, vision and 401(k))
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
cash reconciliationsposition reconciliationsKYC onboardingAML complianceregulatory reportingCAT reportingTRACE reportingoperational workflowssecurities clearingsettlement processes
Soft skills
problem-solvingorganizational skillsattention to detailcommunication skillscollaborationindependenceprioritizationprocess improvementrisk mitigationcross-functional partnership
