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Protocol Intelligence
Data-driven signals on your job's competitivenessTier-1 brand, mid-level role and metro location increase applicant density despite niche securities licensing requirement.
Role requires niche securities processing experience and FINRA Series licenses, limiting cross-industry transferability.
Mandatory Series licenses, explicit 5-8 years, and securities processing expertise enforce strict shortlisting.
Job Description
Structured overview of role & requirementsAbout This Role
Lead and manage a team responsible for processing securities and derivatives transactions from trading desks and branch offices.
Ensure seamless execution of securities clearance, settlement, and derivative operations with adherence to performance goals.
Serve as expert escalation point for procedural, analytical, and control issues, implementing solutions to mitigate operational risks.
Minimum Requirements
5-8 years of relevant experience in securities transactions processing.
Mandatory licenses: Series 7, Series 9, Series 10, Series 63.
Bachelor’s Degree or equivalent experience.
Previous people management experience required.
Ideal Candidate Profile
Expertise in settlement cycle concepts and resolution of settlement issues.
Experienced in managing operational risks and control gap identification/mitigation.
Skilled at team leadership with a focus on compliance, accountability, and escalation management.