Senior Associate, Trading Operations – Broker Dealer

Gemini

Senior Associate managing trading operations at Gemini. Executing daily workflows and partnering with multiple teams for regulatory support.

Posted 7/15/2026full-timeNew York City • Florida, New York • 🇺🇸 United StatesSenior💰 $99,400 - $142,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in trade operations, including cash and position reconciliations, regulatory compliance, and risk management. Proficient in data analysis and reporting, with strong skills in Excel, SQL, and trading systems.

Highest-signal resume keywords

Trade Operations ExperienceFINRA/SEC Regulatory KnowledgeExcel/Google Sheets ProficiencySQL Data ManagementFINRA Series 99 Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trade ReconciliationCash ManagementPosition ManagementCorporate Action ProcessingData AnalysisRegulatory ReportingOperational Risk IdentificationControl DocumentationBroker/Clearing Data AccuracyClient Allocation Settlement

Soft Skills

Attention to DetailAnalytical Skills

Tools & Technologies

Trading SystemsClearing Systems

Certifications & Qualifications

FINRA Series 99FINRA Series 7FINRA Series 63

Industry Keywords

Broker-DealerExchangeClearing FirmOperational ProceduresRisk Controls

Tech Stack

Tools & technologies

SQL

About the role

Key responsibilities & impact

Execute daily trade operations workflows, including cash, position, and trade reconciliations, ensuring operational procedures and risk controls are followed and properly documented
Ensure timely, accurate settlement of trades and client allocations; investigate and resolve trade breaks (client-side and street-side)
Maintain accuracy of positions, cash balances, and broker/clearing data across firm systems
Monitor and process mandatory and voluntary corporate action events, including dividends, interest payments, and splits
Support account maintenance and review of new and existing account activity for trading eligibility
Partner with Compliance, Finance, Product and Engineering teams to support regulatory reporting, trade surveillance, and system enhancements
Identify and escalate operational risk issues; contribute to process improvement and control documentation
Support internal audits, regulatory exams, and control testing related to trade operations

Requirements

What you’ll need

Bachelor's degree in Finance, Economics, or a related quantitative field
4+ years of experience in brokerage or trade operations at a broker-dealer, exchange, or clearing firm
Working knowledge of the FINRA/SEC regulatory framework applicable to broker-dealers
Strong attention to detail and reconciliation/analytical skills
Intermediate or advanced in Excel/GoogleSheets and comfort working within trading and clearing systems
Intermediate skills in SQL and managing large data sets
FINRA Series 99 required (or ability to obtain within 90 days of hire)
FINRA Series 7 and Series 63 preferred

Benefits

Comp & perks

Competitive starting pay
A discretionary annual bonus
Long-term incentive in the form of a new hire equity grant
Comprehensive health plans
401K with company matching
Paid Parental Leave
Flexible time off