Operation Associate

Back Office Operations Associate Job Level Associate Department Operations (Back Office / Trading Operations) Reports To Operations Managers FLSA Status Non-Exempt Direct Reports None Location San Diego Last Reviewed October 2026 Prior Version New role (2026) GENERAL PURPOSE OF THE POSITION Supports the Back Office / Operations team by performing routine, high-volume processing accurately and on time, under the guidance of the Operations Specialists and managers. The Associate carries the day-to-day transactional work (Trade reporting support, money movement, account servicing and documentation), flags and escalates exceptions, and builds the product and systems knowledge to grow into the Specialist role. The position adds processing capacity and backup depth to a team that runs on same-day and T+1 regulatory deadlines. KEY RESPONSIBILITIES Trade TRACE reporting * Enter and assist with TRACE regulatory reporting inputs under the direction of a manager and help reconcile unmatched items in TRACE. Money movement and account servicing * Process routine wire transfers, ACH deposits and withdrawals, and check deposits, journals, set up standing instructions, following established procedures and custodian cut-off times. * Process and upload Corestone applications and related cash-management servicing requests. * Prepare ACAT and asset-transfer paperwork and help coordinate account transfers. * Perform routine account maintenance such as setting up money market in clients’ accounts. Documentation, coordination and controls * Respond to routine advisor and internal requests and escalate anything non-standard to a Specialist or manager. * Coordinate with New Accounts, Compliance, and Accounting / Finance to move items through to completion. * Follow Compliance procedures on account closings and money movement, and complete additional duties as assigned. * File Physical trade confirmations using Scanning system Development and cross-training * Learn the department's core workflows and systems (including Pershing / NetX360) and cross-train across functions to provide backup coverage. * Work toward the licenses and experience required to advance to Jr. Operations Specialist. SKILLS AND COMPETENCIES * Strong attention to detail and accuracy on repetitive, deadline-driven work. * Ability to follow established procedures, ask questions, and escalate appropriately, with developing independent judgment. * Good organization and time management, and the ability to manage multiple routine tasks in a fast-paced environment. * Clear written and verbal communication and a collaborative, dependable approach. * Comfortable with Excel and able to learn multiple custodian and operational systems. EDUCATION, LICENSES AND EXPERIENCE * High school diploma or GED required; an associate's or bachelor's degree is preferred. * One to two years of experience in financial services, operations, or a transaction-processing role; internship or back-office exposure is a plus. * FINRA SIE required at hire or to be completed within the first three months; Series 99 (Operations Professional) to be completed within 12 months of employment. * Bilingual English and Spanish strongly preferred, given the firm's predominantly Latin American client base. * Proficiency with Microsoft Office (Word, Excel), and an aptitude for technology and numbers. PHYSICAL DEMANDS AND WORK ENVIRONMENT * Primarily office-based in San Diego; the noise level in the work environment is usually moderate; occasional lifting up to 25 pounds.