Senior Brokerage Operations & Controls Analyst

About the Role

Responsibilities

• ● and complex brokerage investigations. You will also help design the tools, workflows, dashboards, and controls that allow our brokerage operation to scale without simply adding manual processes.
• ● You will work closely with Brokerage Operations, Risk, Compliance, Product, Engineering, and our external clearing, trading, and technology partners.
• ● Own daily brokerage reconciliations, operational controls, and exception reviews.
• ● Investigate discrepancies involving positions, trades, cash, settlement, margin, buying power, and customer accounts.
• ● Resolve trade breaks, settlement issues, rejected activity, corporate action discrepancies, and other operational exceptions.
• ● Investigate equities and listed options activity across the trade lifecycle, including execution, clearing, settlement, exercise, assignment, and trade corrections.
• ● Support complex cash movement, account servicing, restriction, and asset movement issues.
• ● Design and improve dashboards, reconciliation tools, exception monitoring, controls, and operational workflows.
• ● Partner with Product and Engineering to automate manual processes and improve operational visibility.
• ● Translate brokerage requirements and operational problems into clear technical requirements.
• ● Work directly with clearing, OMS/EMS, execution, and other brokerage partners to investigate issues and drive them through resolution.
• ● Identify recurring problems and help implement permanent fixes rather than relying on manual workarounds.
• ● Support Compliance with operational data, controls, regulatory reporting investigations, examinations, and inquiries.
• ● Help build scalable processes as Aries adds customers, trading volume, products, and capabilities.
• ● + years of experience in brokerage operations, clearing operations, trading operations, securities operations, or a similar broker-dealer function.
• ● Strong understanding of the U.S. securities trade lifecycle, including execution, clearing, settlement, and account servicing.
• ● Hands-on experience investigating position, cash, trade, settlement, or reconciliation breaks.
• ● Working knowledge of equities and listed options.
• ● Understanding of margin, buying power, settled and unsettled funds, corporate actions, trade corrections, exercises, assignments, and account restrictions.