Securities Licensed Brokerage Associate

Job Summary

To support a growing Fintech firm, the remote Brokerage Operations Associate I will manage ACATS and non-ACATS transfers, ensuring accurate and compliant processing while collaborating with internal and external partners in a fast-paced environment.

Key responsibilities:

• Process daily incoming and outgoing ACATS, validating client information and asset eligibility throughout the transfer lifecycle
• Handle communications with contra firms and partner brokers regarding rejections and documentation, while executing mass account transfers
• Drive operational improvements through analysis and updates to the control framework, serving as a Subject Matter Expert on transfers

Required qualifications:

• 2+ years of ACATS experience with a strong understanding of the ACATS cycle and industry timing requirements
• Working knowledge of NSCC/DTCC rules and U.S. broker-dealer back-office operations
• Basic knowledge of SQL, Metabase, or similar query tools, and proficiency in navigating industry portals and internal tools
• Possession of the SIE and Series 99 (or higher securities license) or ability to achieve Series 99 within the first 180 days of employment
• Ability to adapt to an evolving regulatory landscape while embodying core values of curiosity, empathy, and accountability