Brokerage Operations Specialist

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🔥 0 minutes ago

🏄 California – Remote

🏄 California – Remote

⏰ Full Time

🟢 Junior

🟡 Mid-level

⚙️ Operations

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Wealthfront

WebsiteLinkedInAll Job Openings

201 - 500 employees

Founded 2011

💸 Finance

💳 Fintech

☁️ SaaS

💰 $69.7M Convertible Note on 2022-09

Finance • Fintech • SaaS

Wealthfront is a financial technology company specializing in automated investment services and financial planning tools. It offers a range of services including automated bond ladders, cash management with a competitive annual percentage yield, and comprehensive long-term investment strategies utilizing diversified index funds. Wealthfront's platform is recognized for its ease of use and efficient automation in managing savings, investments, and retirement funds. The company's offerings include FDIC-insured cash accounts, advisory services, tax-loss harvesting, and personalized investment portfolios. Wealthfront aims to help individuals grow their wealth through accessible, low-cost financial solutions tailored to individual risk preferences and financial goals.

📋 Description

• Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc. • Conduct quality control reviews and regulatory document delivery reconciliation • Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests • Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML • Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers • Certain in office tasks as the business requires

🎯 Requirements

• Minimum of 2 years brokerage industry experience preferably in a back office role • Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading • Understanding of AML and risk mitigation rules • Strong organizational skills • Customer-centric business philosophy and collaborative mindset • Ability to communicate cross-functionally • Appreciation and understanding of applying technology and software to business processes • Desire to improve processes to increase team efficiency and productivity • Strong work ethic and hands-on approach • Ability to quickly learn proprietary web-based account services applications • Appreciation for compliance and adherence to government regulations • Bachelor's degree in finance, economics, or related field or requisite related work experience • FINRA Series 7 required (or ability to obtain in 90 days)

🏖️ Benefits

• Competitive salary • Health insurance • Flexible work hours • Professional development budget