Lead Securities Operations Specialist

Title: Lead Securities Operations Specialist

Location: 1525 W W T Harris Blvd Charlotte, NC

Duration: 6 months

Work Engagement: W-2

Work Schedule: 3 days in office/2 days remote

Benefits on offer for this contract position: Health Insurance, Life insurance, 401K and Voluntary Benefits

Summary:

We are seeking a highly experienced Lead Securities Operations Specialist to lead complex lifecycle initiatives and operational processes within Securities Operations. This role plays a critical part in Service Fulfillment, supporting trading, customer, and online service functions across both licensed and unlicensed roles.

The successful candidate will manage large-scale, cross-functional initiatives, drive process improvements, and provide strategic input on operational risk, trade settlement, and workflow optimization. This individual will operate with a high degree of independence, influencing outcomes that have broad business and financial impact while collaborating with senior stakeholders.

Responsibilities:

• Lead complex, cross-functional lifecycle initiatives with broad operational impact, contributing to large-scale planning and execution of deliverables

• Analyze and evaluate intricate operational challenges involving multiple variables, including ambiguous or unprecedented factors

• Make informed decisions across end-to-end trade processes, ensuring alignment with policies, procedures, and regulatory requirements

• Identify and implement process improvement opportunities within Securities Operations to enhance efficiency and reduce risk

• Collaborate strategically with peers, colleagues, and mid-to-senior level management to resolve issues and achieve business objectives

• Lead or support projects, mentor team members, and contribute to team effectiveness and development

• Oversee and develop subject matter expertise across key operational areas, including Client account onboarding, Cash payments and funding operations, Customer service operations, Custodial operations, Securities settlement services, Structured loan operations, and General ledger reconciliation

• Resolve complex escalations within Securities Operations, ensuring timely and accurate outcomes

• Research and assess business risks, develop and refine policies, and enhance overall client satisfaction

• Review time-sensitive documentation and transaction requests to ensure accuracy and compliance

• Exercise independent judgment in trade settlement processes and proactively strengthen workflow controls to mitigate operational breakdowns

• Monitor daily securities and cash-related production activities to ensure alignment with service level expectations

• Lead the implementation of new or revised processes and operational initiatives, coordinating across teams and evaluating financial and risk impacts

Qualifications:

• Applicants must be authorized to work for ANY employer in the U.S. This position is not eligible for visa sponsorship.

• Experience in Securities Operations or a related financial services environment

• Strong understanding of trade lifecycle processes, including settlement, funding, and reconciliation

• Proven ability to manage complex operational tasks and make decisions in high-risk, time-sensitive environments

• Experience leading cross-functional initiatives and driving process improvements\

• Demonstrated ability to analyze complex problems and develop effective, scalable solutions

• Strong knowledge of operational risk, compliance, and regulatory requirements within a trade environment

• Excellent collaboration and stakeholder management skills, with experience working with senior leadership

• Ability to mentor team members and contribute to a high-performing team environment

• Strong organizational skills with the ability to manage multiple priorities simultaneously

• Excellent written and verbal communication skills

• Exposure to automation tools (RPA), AI, or workflow optimization technologies (Preferred)

• Familiarity with FINRA-regulated environments (Preferred)

• Experience in brokerage or wealth management operations (Preferred)