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.

• 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

• Minimum 2 years of experience in broker-dealer operations, capital markets operations, or a related financial services function

• Series 7 license preferred

• 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)

• Advanced Excel skills are a plus

• 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

• Exposure to fixed income and derivatives is a plus

• Demonstrated ability to improve operational processes or implement workflow efficiencies

• Self-starter with a proactive mindset and strong ownership mentality

• $100,000 - $140,000 annual salary range

• Bonus potential

• Compensation and bonus are commensurate with experience, performance and/or firm profitability

• Check out ourTotal Rewards at Baird, which is a summary of our benefits and compensation

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