Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

We are seeking a highly skilled and detail-oriented Operations Associate to join our Operations team at Baird Strategas. This individual will play a critical role in supporting daily trading operations, ensuring accuracy and efficiency across post-trade processes, and maintaining compliance with regulatory and internal controls. The ideal candidate brings prior broker-dealer operations experience, strong problem-solving abilities, and the capacity to thrive in a fast-paced, client-focused environment.

Responsibilities

Execute and oversee daily trade support functions, including trade capture, allocation, confirmation, settlement, and reconciliation across equities and options
Monitor trade flow and independently investigate and resolve routine trade breaks across custodians, clearing firms, and counterparties
Coordinate with trading, sales, compliance, and finance teams to ensure accurate and timely transaction processing and issue resolution
Support corporate actions processing, including dividends, splits, mergers, and reorganizations
Maintain books and records in accordance with SEC/FINRA regulations and firm policies
Assist in onboarding new client accounts, including documentation review, account setup, and KYC/AML coordination
Identify process inefficiencies and contribute to automation and workflow improvements
Assist with regulatory reporting, audits, and internal control testing as required
Provide coverage for time-sensitive issues, including end-of-day processing and ad hoc operational requests

Requirements

Minimum 2 years of experience in broker-dealer operations, capital markets operations, or a related financial services function
Strong understanding of the equity and options trading lifecycle, including clearance, settlement, trade reconciliation, and CMTA billing
Ability to independently investigate and resolve routine trade discrepancies
Familiarity with clearinghouse systems (DTCC, NSCC, options CMTA) and custodial clearing processes
Working knowledge of the FINRA/SEC regulatory framework governing broker-dealers
Proficiency with order management and execution systems (OMS/EMS) and operational platforms (e.g., Bloomberg, FIS, Charles River, or similar)
Strong analytical, organizational, and problem-solving skills with high attention to detail
Ability to manage multiple priorities in a deadline-driven environment
Excellent communication skills and ability to collaborate across front, middle, and back-office functions
Experience in a boutique or mid-sized broker-dealer environment preferred
Self-starter with a proactive mindset and strong ownership mentality

Skills

Advanced Excel skills are a plus
Equity and options trading lifecycle
Clearance, settlement, trade reconciliation, and CMTA billing
Clearinghouse systems (DTCC, NSCC, options CMTA)
Custodial clearing processes
FINRA/SEC regulatory framework
Order management and execution systems (OMS/EMS)
Operational platforms (e.g., Bloomberg, FIS, Charles River, or similar)
Analytical skills
Organizational skills
Problem-solving skills
Attention to detail
Communication skills
Collaboration skills
Process improvement
Workflow efficiencies

Location

New York
Washington D.C.

Work Type

Full-time

Experience Level

Minimum 2 years of experience in broker-dealer operations, capital markets operations, or a related financial services function
Experience in a boutique or mid-sized broker-dealer environment preferred

Salary/Compensations

$100,000 - $140,000

Benefits

Bonus potential
Compensation and bonus are commensurate with experience, performance and/or firm profitability
Total Rewards at Baird

About the Company

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.
At Baird Strategas LLC and Strategas Asset Management, LLC, we believe every associate matters. We’re committed to providing an environment of trust, respect, and teamwork, where you partner with the best in the industry and thrive. We are passionate about how we achieve great outcomes together for our clients, communities and each other.
Baird Strategas LLC is an institutional brokerage firm serving clients in more than twenty countries around the world. Founded in 2006 by Jason DeSena Trennert, Nicholas Bohnsack, and Don Rissmiller, the Firm provides Macro Research services to institutional managers and through its affiliate Strategas Asset Management, manages a suite of macro thematic investment strategies by institutional mandate and for ultra and high-net-worth investors. Since 2018, we have operated as an independent, wholly owned subsidiary of Baird. We are committed to providing superior service in the old Wall Street tradition. Our motto – bonitas, probitas, fides (class, integrity, faith) – guides both the management of our Firm and our commitment to our clients. The Firm has 50 research analysts, institutional salespeople and sales traders working from offices in New York and Washington D.C.

Equal Opportunity

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.