Sr. Ops Margin Specialist

Location: Tempe, United States

Salary: $17.23–$28.72 per hour

Company

Financial services firm providing wealth management, brokerage, investment solutions, fintech tools, and practice management services to financial advisors and institutions.

What you will do

• Monitor and maintain margin calls, debit balances, trade-related items, short positions, and other risk items in brokerage accounts.
• Review daily risk reports, identify potential options and regulatory violations, and initiate sales, buy-ins, or trade corrections.
• Calculate, reconcile, communicate, and enforce margin maintenance requirements and Regulation T guidelines.
• Resolve escalated issues, own follow-up actions, and ensure unresolved items are properly enforced or escalated.
• Complete and review departmental risk-based reports and projects.
• Collaborate with financial advisors, management, and internal departments to meet firm and regulatory deadlines.

Requirements

• Bachelor’s degree, preferably in Finance or a related field.
• At least 1 year of general brokerage industry experience.
• Ability to manage risk, prioritize work, and meet regulator and firm deadlines in a fast-paced environment.
• Strong written, verbal, organizational, analytical, and cross-functional communication skills.
• Ability to multitask, evaluate results, and communicate with advisors and stakeholders.

Nice to have

• Margin or operations experience and understanding of BETA.
• Experience with data, reporting, and financial instruments such as equities, fixed income, and CDs.
• Proficiency with Microsoft Excel and Access.
• FINRA SIE, Series 7, or Series 99 certification.

Culture & Benefits

• Collaborative, client-focused, team-oriented environment.
• Emphasis on creativity, continuous improvement, and delivering a strong client experience.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.