Series 24 and 57 Licensed Operations Associate
Job Summary
To support a growing brokerage operation, the full-time Series 24 and 57 Licensed Operations Associate will manage trading and margin activities, providing registered supervision and ensuring compliance while working remotely.
Key responsibilities
- Provide registered supervision over inter-dealer market making activity in corporate securities and margin lending
- Review and approve trading and margin activity, maintaining supervisory procedures and addressing escalated issues
- Help shape the supervisory framework to ensure compliance as the firm scales its broker-dealer capabilities
Required qualifications
- Active Series 24 and Series 57 licenses
- Three to five years of direct experience in overseeing trading and/or margin activities
- Demonstrated experience supervising inter-dealer market making activity in corporate securities
- Deep subject matter expertise in Reg T and FINRA Rule 4210, as well as portfolio margin
- Experience managing daily trading operations and risk limits across trading desks
Complete Job Description
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