Job description

Finance 500 was founded in 1982 and is an independent, registered broker dealer headquartered in Irvine California. Finance 500 is looking for an Operations and P&S Associate. Seeking a seasoned professional who will be responsible for the operations and administrative support of our CD underwriting and fixed income sales division. This individual will function as an integral part of the company and work closely with the COO, compliance, and the sales team.

Responsibilities:

· Responsible for entering and managing workflow on all CD Issuance in the DTC UWC & NUWS underwriting systems, from initial eligibility to closing

· Oversee the Purchase & Sales trade breaks and successful settlement of all trades

· Responsible for handling all underwriting wire request and reporting to clearing firm

· Assist in updating & maintaining the client management system

· Reconciliation of inventories on a Bi-weekly basis

· Oversee CUSIP request workflow

· Correspond with Clearing firm, Depository Trust Company, CUSIP Bureau and sales team

· Trade file upload to clearing firm (daily)

· Problem Solving: Reconcile issues with bank clients and custodian

Requirements:

· High School Diploma, Bachelor’s Degree preferred

· SIE License, Series 7 & 24 preferred

· Excellent communication skills

· Computer skills in Word, Excel, Outlook

· Ability to work effectively in a fast paced, deadline-oriented environment

· High Ethical Standards

· Prior experience in broker dealer operations preferred

Benefits:

The compensation package for this position consists of a base salary plus discretionary annual bonus as well as eligibility to participate in all company benefits offered by Finance 500 to full-time employees including health, dental, medical coverage, disability income protection, life insurance, PTO/vacation, holidays, and 401(k). The salary range for this position will be $60,000 to $65,000. Total compensation packages at Finance 500 are based on experience, skills, credentials, and geographical location, of each specific candidate.

Report too: President, COO and CCO

Job Type: Full-time

Pay: $60,000.00 - $65,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Ability to commute/relocate:

• Irvine, CA 92618: Reliably commute or willing to relocate with an employer-provided relocation package (Required)

Experience:

• Operations management: 3 years (Preferred)

Work Location: In person

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