- Licenses SIE, Series 7TO, Series 63. Series 24 or willingness to obtain (Series 57 also a plus but not required)
- Experience Trading Operations/Back Office Equities Institutional Brokerage experience preferred but not necessarily required
- Job Duties
- Assist Sales, Trading, Investment Banking personnel with the opening of new accounts primarily DVP but occasional cash/retail accounts
- Perform initial and ongoing CIP/AML reviews
- Interact with Clearing Broker and Order Management System (OMS) vendor
- Manage client account relationships and allocate trades daily
- Review and reconcile trade breaks and settlement issues
- Assist with onboarding T+1 settlement processes, policies and procedures
- Perform trade surveillance functions and exception report monitoring
- Prepare daily CAIS reporting files and assist with CAIS/CAT review and reconciliation
- Assist with Best Execution reviews prepare stats for Best Ex Committee
- Assist with vendor management and onsite FinTech management
- Create and maintain procedural documentation
-
The Abiturient program for Trade Specialist
5 days ago
Radiant Ventures North St. Paul, United StatesTrainee Program for Retail Management (m/f/d) at Takko Fashion in North St. Paul · Our stores are the heart of Takko Fashion - with more than 1,900 stores in 17 countries in Europe, Takko Fashion is always close by. Do you have a passion for fashion? And do you want to make fami ...
-
Trade Compliance Specialist II
20 hours ago
Lantronix Minneapolis, United StatesJob Description · Job Description · Lantronix Inc. is a global provider of secure turnkey solutions for the Internet of Things (IoT) and Remote Environment Management (REM), offering Software as a Service (SaaS), connectivity services, engineering services and intelligent hardw ...
-
Trade Compliance Specialist II
5 days ago
Lantronix Minneapolis, United StatesJob Description Job Description Lantronix Inc. is a global provider of secure turnkey solutions for the Internet of Things (IoT) and Remote Environment Management (REM), offering Software as a Service (SaaS), connectivity services, engineering services and intelligent hardware. L ...
-
Sapphire Solutions West St. Paul, United StatesWelcome to the Backparadies in West St. PaulAs a member of our team, you will learn how to expertly serve and advise our customers, as well as handle the sale of baked goods, snacks, and beverages. · You will take pride in maintaining, checking, and creatively presenting items in ...
-
Trade Compliance Specialist II
13 hours ago
LANTRONIX Minneapolis, United StatesJob Description · Job DescriptionLantronix Inc. is a global provider of secure turnkey solutions for the Internet of Things (IoT) and Remote Environment Management (REM), offering Software as a Service (SaaS), connectivity services, engineering services and intelligent hardware. ...
-
Titan Ventures Mounds View, United StatesAre you a meat lover? Do you enjoy working with meat and sausage products? We have the perfect opportunity for you at Mounds View · As a member of our team, you will learn how to properly process, maintain, and inspect meat and sausage products. We will also teach you how to eff ...
-
Operation Specialist
3 days ago
DivIHN Integration Inc Plymouth, United StatesDivIHN (pronounced "divine") is a CMMI ML3-certified Technology and Talent solutions firm. Driven by a unique Purpose, Culture, and Value Delivery Model, we enable meaningful connections between talented professionals and forward-thinking organizations. Since our formation in 200 ...
-
Operational Specialist
5 days ago
Rainbow Seating LLC Minneapolis, United StatesCompany Description · Rainbow Seating LLC is a furniture manufacturer and global sourcing company specializing in the foodservice industry. We work closely with our suppliers and customers to ensure successful partnerships in manufacturing, importing, sourcing, and assembly. Our ...
-
Operational Specialist
7 hours ago
Rainbow Seating LLC Minneapolis, United StatesCompany Description · Rainbow Seating LLC is a furniture manufacturer and global sourcing company specializing in the foodservice industry. We work closely with our suppliers and customers to ensure successful partnerships in manufacturing, importing, sourcing, and assembly. Our ...
-
Operation Specialist
1 week ago
DivIHN Integration Inc Minneapolis, United StatesJob Description · Job DescriptionFor further inquiries regarding the following opportunity, please contact one of our Talent Specialists · Sivanesan at Title: Operation Specialist · Location: Plymouth, MN · Duration: 5 MonthsDescription:Summary: This position will be responsible ...
-
Operations Specialist
5 days ago
ASM Global Group Minneapolis, United Statesfor "essential" or "functional" purposes, such as to enable certain features of our Digital Services (for example, to allow a customer to maintain a basket when they are shopping at an online store); · for "analytics" purposes, such as to analyze the traffic to and on our Digital ...
-
Operations Specialist
5 days ago
Sky Ranch Minneapolis, United StatesThis position is critical to the ministry of Sky Ranch and contributes directly to our mission of leading youth and families to know and follow Christ. Operations Specialists are responsible for carrying out and completing daily operational duties which facilitate an excellent gu ...
-
Operations Specialist
5 days ago
ASM Global Minneapolis, United StatesPOSITION: Operations SpecialistDEPARTMENT: OperationsREPORTS TO: Director of OperationsFLSA STATUS: HourlySummary:The Operations Specialist provides event day support via the SOC. The position will work directly in the SOC and provide event logistical support for the Operations D ...
-
Operations Specialist
1 week ago
Rei Recreational Equipment Minneapolis, United StatesOverview · Have you got what it takes to succeed The following information should be read carefully by all candidates. · REI Co-op is united around discovering, building and celebrating better ways of working in this world, all so that folks can find and pursue a love of the ou ...
-
Operations Specialist
1 week ago
University of Minnesota Minneapolis, United StatesAbout the Job · OVERVIEW: · This position is located in the Office of The Dean (OOD) at the Carlson School of Management at the University of Minnesota, Twin Cities Campus. This role serves as the first point of contact for all Office of the Dean sponsored events, meetings, and d ...
-
Apex Solutions Prairie City, United StatesIs meat your passion in Prairie City?We will teach you how to properly process, maintain and inspect meat and sausage products. · Half of the sale is in the presentation: We will show you how to do it. · You will soon be able to advise customers on meat and sausage products and e ...
-
FusionTech Eden Prairie, United StatesIs meat your passion? We will teach you how to properly process, care for, and inspect meat and sausage products. · Presentation is key: We will show you how to do it right. · You will soon be able to advise customers on meat and sausage products and enrich them with your prepara ...
-
Infinity Systems Oakdale, United StatesTraining as a specialist salesperson in the food industry - specialization in bread/bakery products (m/f/d) · At Backstube Wünsche GmbH in Am Reitfeld 8, 93161 Sinzing - Job-ID SB · Start date Employment typeTraining, full-time · Duration3 yearsWhat will you become? · As a speci ...
-
ZephyrTech Bloomington, United StatesThe German Railway is one of the most diverse employers in Germany. Every year, we are looking for over 5,000 apprentices in 50 professions nationwide who want to become even better with us. We are currently seeking candidates for a 3-year apprenticeship as a specialist in rail o ...
-
Customer Operations Specialist
2 days ago
General Mills Minneapolis, United StatesThe Customer Operations Specialist manages select operational components of one or more General Mills customers, acting as the point of contact for all service matters related to the customer. The Customer Operations Specialist is responsible for thr Operations Specialist, Operat ...
Compliance Specialist/Trade Operations - Minneapolis, United States - NOVON Consulting Corp.
Description
About the job Compliance Specialist/Trade Operations
Will be onsite/hybrid in Minneapolis
W2/USC only
Trade Operations/Compliance Specialist