Remote Auditing Jobs · Brokerage Operations

• Perform trade and position reconciliation to ensure accurate reporting.
• Complete regulatory reporting tasks, including CAT reporting, rule 606, and best execution analysis.
• Assist with regulatory inquiries and exams, including document and data retrieval.

The Operations & Trade Support Associate plays a critical role in ensuring the smooth daily functioning of the broker-dealer by supporting trade execution, operational processes, settlements, reconciliations, and regulatory compliance, facilitating trade support activities, monitoring risk, and collaborating closely with Clearing, Compliance, Finance, and Customer Experience teams.

Serve as the execution arm for policies set by cross-functional brokerage stakeholders. Close client positions and/or apply appropriate account restrictions based on single stock and broad-based stress testing metrics to ensure that client exposures are within established stress guidelines, according to established policies and procedures. The successful candidate will manage a team of Associates and serve as the execution arm for policies set by cross-functional brokerage stakeholders.