Trading Support Associate

Financial Services/Broker Dealer

Dallas, Texas-Hybrid

Series 7 Needed!

$90,000 to 105,000 Base/Bonus/Benefits!

Job Responsibilities:

• Ensure accurate and timely reporting of CAT

1. File delivery oversight
2. Reject processing in FINRA portal

• Work closely with IT to define business requirements for system changes necessary to support CAT and CAIS reporting.
• Primary contact for all CAT and CAIS reporting questions
• Participate in industry / FINRA working groups to keep abreast of upcoming enhancements, changes in regulations and/or issues facing the industry
• Ensure accurate and timely review of 15c3-5 post-trade surveillance alerts including:

1. Affiliate notification of trading activity identified through S3 reports requesting, tracking and documenting the responses.
2. Produce daily reports, evidence review and provide to management for supervisory review.
3. Define, document and implement any changes needed at S3 to refine trade surveillance reporting as needed.

• Ensure accurate and timely review of 15c3-5 overall daily evaluation of trading activity to identify patterns or concerns not identified by the reporting alerts performed by S3.

Qualifications:

FINRA Series SIE & 99 or Series 7 required

Knowledge and Skills:

• Minimum 4 years of experience performing CAT reporting and managing corporate action and transfer functions at a clearing firm
• Ability to effectively communicate and interact with all levels of management and work in a team-oriented environment
• Strong analytical, critical-thinking and problem-solving skills
• Demonstrated ability to manage multiple projects