BROKERAGE OPERATIONS SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Updated: Sep 21, 2024 - The Brokerage Operations require comprehensive management skills, encompassing expertise in front, middle, and back office functions. This role involves leading and training teams responsible for the execution, clearance, and settlement of transactions, emphasizing the adoption of proprietary web-based applications. Strong collaboration with Product and Engineering teams is essential to streamline new features, ensuring compliance with both governmental and industry regulations for operational excellence.

Essential Hard and Soft Skills for a Standout Brokerage Operations Resume
  • Financial Analysis
  • Regulatory Compliance
  • Risk Management
  • Data Management
  • Technical Proficiency
  • Transaction Processing
  • Reporting Skills
  • Project Management
  • Product Knowledge
  • Quantitative Analysis
  • Communication
  • Problem Solving
  • Leadership
  • Attention to Detail
  • Adaptability
  • Client Service
  • Teamwork
  • Decision Making
  • Integrity
  • Conflict Resolution

Summary of Brokerage Operations Knowledge and Qualifications on Resume

1. BS in Finance with 5 years of Experience

  • Understanding of Fee Base Advisory Products
  • Experience with NetX360, Envestnet, Salesforce, Docupace and/or Redi2
  • Experience with introductory broker-dealers who clear through Pershing LLC
  • Experience with presenting daily/weekly/monthly reports to team/management
  • General broker-dealer knowledge beneficial
  • High attention to detail with high accuracy in processing required
  • Able to work in a fast paced environment
  • Excellent customer service attitude and skills required
  • Strong communication and organizational skills
  • Ability to work independently in a remote environment

2. BS in Accounting with 2 years of Experience

  • Experience in the Financial Services industry
  • Understanding of stocks, bonds, and mutual funds and industry regulations/procedures required
  • Excellent verbal and written communication skills
  • Positive, customer focused attitude with a desire to exceed customer expectations
  • Must be able to operate in a team environment and contribute to the company and team goals
  • Strong technical and analytical skills required
  • Willing to pursue the SIE & Series 7 FINRA licenses
  • Existing knowledge of fee based products or similar experience

3. BS in Financial Engineering with 7 years of Experience

  • Experience brokerage operations in a management role
  • Expert-level knowledge of front, middle and/or back office brokerage operations
  • Experience managing and training a front, middle and/or back office operations team
  • Ability to quickly learn proprietary web-based front and back office applications
  • Experience collaborating with Product and Engineering functions to ensure that new feature readiness 
  • Appreciation for compliance and adherence to government and industry regulations
  • Prior success implementing and updating Written Supervisory Procedures
  • Excellent verbal and written communication skills
  • Experience working at a fast growth FinTech
  • Experience working with Carrying or Clearing Broker-Dealer
  • Extensive SEC/FINRA regulatory and compliance knowledge
  • Excellent research skills including experience with online search tools
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