We're Hiring – Broker Dealer Operations professionals – all levels - Associate up to Manager! located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC) as a registered Futures Commission Merchant (FCM) serving professional traders and institutions with customized clearing, custody and global market access solutions.
Our culture is built on integrity, accountability, open communication, and continuous improvement, with a focus on building for the long term. Our office, located in the iconic Board of Trade Building, offers convenient access to Metra and CTA lines and is steps away from restaurants, parks, shopping, and cultural institutions. Building amenities include an onsite gym, indoor bicycle parking, a game room, and a rooftop deck with exceptional views.
We are seeking highly motivated, hands-on Broker Dealer Operations professionals at all levels to work within our team to execute core operational functions. This role is ideal for someone who thrives in a "roll-up-your-sleeves" environment, where building, improving, and directly managing processes is essential. This individual will play a critical role in ensuring operational excellence, regulatory compliance, and scalable infrastructure as the firm grows.
Assist with the expansion of the securities and options trading, clearing, and custody offering to new and existing clients, with a focus on custodian services, operating and supervisory procedures, and daily reconciliations. Collaborate with front office, compliance, and technology teams. Maintain adherence to regulatory requirements (FINRA, OCC, SEC, DTCC etc.). Process creation, improvement, documentation, validation, and research related to new products.
A strong level of proficiency in Microsoft Office products, especially Excel. Working experience with SQL, Python, Power Automate or other no/low-code solutions preferred. To be considered for this position, please apply via LinkedIn or submit a resume directly to with "Broker Dealer Operations" in the subject line.
Broker Dealer Operations in chicago at Unknown Company
This position is listed as full time and onsite.