Securities Operations Specialist-Account Opening & Maintenance
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Job Description
Structured overview of role & requirementsAbout This Role
Process, review, and resolve operational activities within Account Opening & Maintenance, Cash Operations, Cash Management, and Securities Operations, ensuring quality and compliance.
Act as a point of contact for operational issues, coordinate resolution of exceptions and escalations, and monitor adherence to SLAs and regulatory requirements.
Support process improvements, risk management controls, onboarding new operational activities, system testing, performance reporting, and guide less-experienced team members without formal management responsibility.
Minimum Requirements
Minimum 2+ years of Securities Operations experience or equivalent (via work, training, military, education).
At least 6 months experience in Account Opening and Account Maintenance.
At least 6 months experience in Client Onboarding, KYC, or Due Diligence.
At least 6 months experience in Cash Operations, Cash Management, or Payment Processing.
Ideal Candidate Profile
Experience working in complex operational environments related to wealth management, advisory services, or securities operations with solid understanding of investment products and client onboarding.
Capability to manage stakeholders, conduct risk and process reviews, and lead operational excellence and continuous improvement initiatives.
Familiarity with system and product testing including UAT, data analytics/reporting tools (e.g. Power BI, Tableau), and exposure to automation/technology-driven operational enhancements.