Description
Execute and oversee back-office processes for the purchase, sale, and custody of securities. Process trade orders and settlements, reconcile positions and cash, calculate fees and taxes, distribute dividends, ensure regulatory compliance, and maintain accurate records and reporting.
- • Correspond with clients, brokers, and internal teams to resolve trade, cash, and account inquiries.
- • Coordinate trade settlement, transfer, and delivery of securities with custodians, counterparties, and clearing firms.
- • Prepare and process account forms and trade documents (e.g., receipts, transfers, withdrawal orders, confirmations) in firm systems.
- • Enter, verify, and reconcile trades, positions, and cash using OMS, clearing, and accounting platforms.
- • Monitor daily prices and margin to identify collateral shortfalls and issue margin calls when required.
- • Calculate holdings, dividends, interest, transfer taxes, fees, and commissions; allocate payments and charges to accounts.
- • Produce daily reconciliations and account statements summarizing transactions, balances, and earnings.
- • Validate ownership, settlement instructions, and corporate action details for regulatory and policy compliance.
- • Record and maintain audit-ready documentation of purchases, sales, conversions, redemptions, and payments.
- • Manage operational queues, resolve breaks and exceptions, and route escalations as needed.
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Financial Services
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
