Securities Licensed Operations Associate

Joining a dynamic Fintech firm remotely, the full-time Securities Licensed Operations Associate will manage ACATS and non-ACATS transfers, ensuring accurate and compliant processing while collaborating with internal and external partners. Key responsibilities Process daily incoming and outgoing ACATS, validating client information and asset eligibility across the transfer lifecycle Handle communications with contra firms and partner brokers regarding rejections and documentation, while running mass account transfers Drive continuous operational improvement through analysis and updates to the control framework, serving as a Subject Matter Expert on transfers Required qualifications 2+ years of ACATS experience with a strong understanding of the ACATS cycle and industry timing requirements Working knowledge of NSCC/DTCC rules and U.S. broker-dealer back-office operations Ability to identify documentation irregularities and outline corrective measures Possess the SIE and Series 99 (or higher) securities license or achieve a passing result on the Series 99 within the first 180 days of employment Basic knowledge of SQL or similar query tools and comfort navigating internal tools and industry portals