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Securities Operations Coordinator

Seattle, WA

Posted: 05/15/2024 Employment Type: Direct Hire Category: Operations;Wealth Management Job Number: a0CUm000015xJfxMAE Pay Range: $75000 - $100000 Location Requirements: Onsite Industry: Financial Services

Job Description

A growing financial services company in Seattle, WA is searching for a proactive and experienced Securities Operations Manager to work closely with the COO! The position involves managing strategic and operational tasks, leading cross-departmental projects, preparing high-level meeting agendas, monitoring compliance with industry regulations, managing vendor relationships, and drafting communications for various stakeholders, all while providing regular updates to the COO. They are looking for high-performing candidates with at least 3 years of experience in the securities industry, preferably on the broker/dealer side with a strong attention to detail, high work-ethic and ability to seamlessly provide high-level support. The firm fast-paced with a kind and familial atmosphere where everyone works together to support clients. The position comes with a competitive salary with bonus structure, a full benefits package, and a fun and energetic group of co-workers!

Salary Range: $75, 000 - $100, 000 / year + discretionary bonus DOE

Senior Business Analyst Responsibilities:
  • Act as a junior COO, providing operational and strategic support by managing daily tasks, long-term projects, and responding to urgent needs from Financial Advisors and Associates
  • Prepare and manage meeting agendas for high-level meetings, document key decisions, ensure follow-up on action items, and assist with the preparation of presentations for various events
  • Stay informed about regulatory requirements and industry trends, monitor compliance, and participate in related projects while managing project prioritization and resolution paths
  • Lead cross-departmental projects to ensure alignment with overall business goals, including project scoping, planning, and implementation
  • Manage select vendor relationships, handle invoice payments, contract reviews, and support business continuity tasks
  • Draft, edit, and refine communications intended for large audiences, maintaining daily communication with the COO to update on relevant items and progress

Senior Business Analyst Requirements:
  • Bachelor s degree in Finance, Economics, Business, Communication, or related field
  • 3+ years experience in the securities industry, preferably on the broker/dealer side
  • Proficient in Microsoft Excel and PowerPoint;familiarity with Microsoft Dynamics 365 and InvestNet is a plus
  • Series 7/66 licenses is preferred
  • Strong initiative and ability to work independently without direct supervision
  • Exceptional attention to detail and commitment to producing high-quality work
  • Excellent communication skills, both written and verbal
  • Flexible and able to manage multiple priorities in a dynamic environment
  • Strong analytical and problem-solving skills

  • Medical, Dental and Vision
  • Company 401K and ESOP contribution
  • Paid holidays
  • Sick, vacation and family leave
  • Pet Insurance
  • Tuition Reimbursement
  • Discounted personal insurances
  • Charitable gift-matching program
  • A lot of growth and exposure to many business departments
  • Fun, energetic group
  • Stable career with growth into other roles or roles within this role

To learn more about what this exciting opportunity has to offer you, apply now!

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