- Operations Supervisor with a demonstrated history of working in the financial services industry. Skilled in Equity and Commodities Settlement, Custodian Operation, Risk Management, Banking. Trading Derivatives Capital Markets
- A brokerage operations specialist may work with other teams at the company, including engineers. Their responsibilities may include:
- Placing orders
- Settlements
- Trade corrections
- Verifying incoming checks, wire transfers, and ACHs
- Processing withdrawal requests
- Completing daily brokerage operations exception reports
- Reviewing and processing account transfer requests
- Conducting quality control reviews
- Reconciling regulatory document delivery
- Brokerage clerks: Responsible for changes to the registration of securities certificates
- Receiving and delivering: Oversee securities certificates moving from firm to firm
- Margins: Ensure clients follow the rules of margin loans
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