Operations Officer (Equities)

About the Role

The Equity Operations team partners with clients to deliver scalable, holistic, and controlled services. The team ensures the quality, effectiveness, and efficiency of all operational processes, fostering synergy with external stakeholders and internal departments. This role identifies and implements improvements to enhance clearing operations service quality.

Job Overview

This position is responsible for operational and administrative processes, delivering complex assignments, inspecting processes, and recording bottlenecks in systems or the client journey. The role is based in Chicago, requiring a minimum of 3 days per week onsite.

Key Responsibilities

• Supervise and assist with daily tasks related to client queries, internal and external stakeholders, and non-standard requests.
• Review client instructions, amendments, and corrections across the life cycle of an equity trade with attention to detail.
• Adjust to demands and challenges while working to meet deadlines.
• Identify and recommend areas of improvement to reduce operational risk.
• Develop and assess improvement proposals to optimize efficiency.
• Research and investigate new product offerings for clients.
• Write work instructions and/or process descriptions for knowledge sharing.
• Work a rotating coverage schedule with start times between 8-10 AM CST.

Requirements & Tech Stack

• Proficiency in MS Office (Word, Excel, PowerPoint).
• Ability to work within tight timelines.
• Ability to work in a team environment.
• Strong work ethic and emphasis on attention to detail.
• Self-starter with a strong desire to make processes more efficient.
• Intellectually curious and understand what drives revenue and risk.
• Excellent customer service, communication, and organizational skills.

Qualifications

• 0-3 years’ experience and knowledge with the processing of equity, options and/or futures clearing.
• FINRA Series 99 (or ability to obtain within 90 days of start date).
• Bachelor’s degree in finance or equivalent practical experience preferred but not required.
• Demonstrate strong confidence in abilities and knowledge of products.
• Ability to lead by example.

Preferred Qualifications

• Experience with Exchange systems: (CME Portal, OCC Portal, ICE Portal, DTCC, etc.).
• Experience with SEC, FINRA, CME and OCC rules and regulations.
• Problem solver with superior analytical and reconciliation skills.
• Ability to identify gaps in existing processes and gain efficiency through automation.
• Strong analytical skills and experience recognizing and mitigating risk through process improvements.
• Experience working with multiple teams across different time zones.
• Experience with research & monitoring tools; SQL database, JIRA, etc.
• Experience with Agentic AI and/or Large Language Models.

Recommended Licenses

• Industry licenses such as Security Industry Essentials (SIE).