Top Tech Jobs & Startup Jobs

Process and remediate account transfers (ACATS, Non-ACATS, direct), ensure compliance and supervisory oversight, handle client inquiries, detect/prevent fraud, support reporting and projects, and train/assist staff to optimize brokerage operations.

Support accurate, timely processing of corporate action events (dividends, mergers, splits, tender offers). Distribute notifications, reconcile positions, collect client elections, calculate entitlements, resolve discrepancies, maintain reports, and adhere to compliance and control procedures while escalating issues to senior staff.

Lead a compliance team to manage regulatory inquiries and examinations, provide regulatory guidance across Trading and Operations, implement controls and QA processes, and train staff to ensure SEC and FINRA compliance for broker-dealer activities.

Execute day-to-day banking transactions (checks, wires, ACH) with accuracy and timeliness, handle exceptions and escalations, follow banking SOPs and regulatory requirements, assist with daily controls and reporting, support cross-functional requests, and propose/process workflow improvements under senior guidance.

Process domestic and international wires, ACH, check disbursements, and journal entries; review LOAs; handle exceptions with AML/Legal/Risk; follow SOPs and daily controls; respond to client and internal inquiries within SLAs.

Own feature-level product delivery from discovery through launch and iteration. Write PRDs/user stories, prioritize backlogs, run lightweight research and experiments, partner with design and engineering, instrument features and monitor metrics, coordinate releases and go-to-market, and ensure operational readiness and quality.