Financial Associate (Public) jobs in Orange, CA

• Veterans Strongly Encouraged to Apply
• Experienced Operations Associate
• Hours: Monday – Friday; 6am – 2pm

General Description: Established in 1994, Mischler Financial Group, Inc. (MFG) is the securities industry’s oldest diversity-certified broker-dealer that is owned and operated by service-disabled veterans (SDV). Our mission is to preserve and protect the interests of those that we serve. We leave no client behind. Our core competencies include investment banking and underwriting services for primary debt and equity capital market transactions, and better execution for institutional clients focused on domestic and international equities, corporate share repurchase fixed income products, FX, and rates trading.

Essential Duties and Responsibilities: MFG is seeking a detail-oriented Operations Associate to join our firm. This role will report directly to the Director of Operations and be responsible for ensuring seamless trade processing, account maintenance, and regulatory compliance. This position offers an excellent opportunity for individuals with a strong operational background and a passion for the financial services industry to contribute to a dynamic and growing organization.

Responsibilities:

· Trade Processing: Facilitate the efficient processing of securities trades, including equities, fixed income, and derivatives, by accurately capturing and confirming trade details and instructions.

- FX – Upload FX trades and reconciling with clearing firm

- Fixed Income – Allocating trades and addressing any discrepancies

- Options – Upload trade activity and add to client folders

- Report to accounting – monthly confirmations

· Settlement and Clearing: Coordinate trade settlement activities with clearing agents and counterparties to ensure timely and accurate settlement of transactions in accordance with industry regulations and best practices.

· Account Maintenance: Manage client accounts and account documentation, including account openings, updates, and closures, while ensuring compliance with regulatory requirements and internal policies.

· Regulatory Compliance: Assist in maintaining compliance with Anti-Montey Laundering (AML) and Customer Due Diligence (CDD) procedures.

· Client Servicing: Provide exceptional service to clients by promptly addressing inquiries, resolving issues, and proactively communicating updates related to trade execution and account activity.

· Soft Dollar / CSA: Maintain records of soft dollar and CSA amounts for clients. Reconcile with clients and or aggregators. Work with Accounting Dept to coordinate payments.

Position Requirements:

· Bachelor's degree

· Required FINRA licenses: SIE, 7, and 63

· Minimum of 3 years’ experience within the broker-dealer industry or financial services sector.

· Advanced proficiency in Microsoft Excel

Moderate proficiency in:

- Word

- Outlook

- Access

- Bloomberg TOMS

· Excellent verbal and written communication skills.

· Ability to respond promptly, organize tasks, manage time, and prioritize requests.

· Attention to detail and follow-through skills.

Salary: Range $65K to $75K based on experience.

Job Type: Full-time

Pay: $65,000.00 - $75,000.00 per year

Benefits:

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

Schedule:

• 8 hour shift
• Monday to Friday

Experience:

• Microsoft Excel: 4 years (Required)
• in the broker-dealer industry or financial services sector.: 3 years (Required)
• Microsoft Office: 3 years (Required)
• Data entry, Access, Bloomberg TOMS: 3 years (Required)
• Microsoft Word: 3 years (Required)

Work Location: In person