Securities Licensed Operations Associate

Job Summary

Joining a dynamic Fintech firm remotely, the full-time Securities Licensed Operations Associate will manage ACATS and non-ACATS transfers, ensuring accurate and compliant processing while collaborating with internal and external partners.

Key responsibilities

• Process daily incoming and outgoing ACATS, validating client information and asset eligibility across the transfer lifecycle
• Handle communications with contra firms and partner brokers regarding rejections and documentation, while running mass account transfers
• Drive continuous operational improvement 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
• Ability to identify documentation irregularities and outline corrective measures
• Possess the SIE and Series 99 (or higher) securities license or achieve a passing result on the Series 99 within the first 180 days of employment
• Basic knowledge of SQL or similar query tools and comfort navigating internal tools and industry portals