Broker Dealer Operations Analyst (Chicago, IL)

Broker Dealer Operations Analyst

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Broker Dealer Operations Analyst for a direct hire opportunity with a financial services client.

Responsibilities:

• Oversee collateral management for TBA trading
• Assist with AOT processing
• Support Municipal New Issue operations
• Support Equity ATM/FATM and Corporate Buyback activity
• Maintain regulatory reporting for TRACE, MSRB, and CAT
• Perform verbal verification of instructions and process Fedwire requests
• Create procedures, job aids, and ad hoc reports requested within business line
• Foster relationships with audit or risk colleagues to provide information and test internal controls
• Aid in the training of new colleagues
• Completes quality checks on completed work

Qualifications:

• Bachelor’s degree and 3-5 years of brokerage operations or comparable experience
• Must be able to obtain FINRA SIE and Series 99 within 12 months of hire
• An additional 5 years’ experience in product area may be considered in lieu of Bachelor’s degree
• Ability to manage multiple priorities in a fast-paced environment
• Ability to build strong relationships with business partners and work well in a team environment
• FINRA SIE and Series 99
• If currently licensed with Series 7 additional licensing is not required

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_4318. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_4318. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V