Job Posting

Employer: Bulltick Financial Services, LLC
Position: Junior Settlement Auditor (Ref. #6042)
Location: 701 Brickell Avenue, Suite 2550, Miami, FL 33131

Duties: Review and audit settlement of equities securities and foreign exchange trades executed daily by trading desk staff to maintain quality assurance of settlement. Draw on experience with settlement of American Depositary Receipts (ADRs) and Exchange Traded Funds (ETFs) and foreign exchange transactions; trade allocation into client’s account; settlement platforms, including NETEX360; knowledge of securities market rules and regulations, including Anti-Money Laundering, Corporate Actions; and buy-in rules. Collect and analyze data to detect deficiencies, discrepancies, fraud, or non-compliance with laws, regulations, and management policies. Confer with company officials about transactions, and regulatory matters. Report to management about audit results, and recommend changes in operations procedures. Create and transmit settlement instructions to the clearing firm; efficiently assess risk factors involved in settlement process and detect discrepancies; address and correct such discrepancies with counterparties and agent bank. Reconcile clients’ cash and margin accounts. Generate Profit and Loss reports for Equities and Foreign Exchange transactions. Generate custom-tailored client reports. Conduct pre-implementation audits to determine if processes and workflow will work as planned.

Requirements: Bachelor’s Degree (or foreign equivalent) in Economics, Accounting, Business Administration, Finance or a related field 3 years of post-baccalaureate experience within the Finance industry reflecting demonstrable ability in the skill set described above. Must be fluent in Spanish. Must possess or be able to obtain Series 99 license as per FINRA requirement. Company will pay licensure expenses.

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Employer: Bulltick Financial Services, LLC
Position: Junior Settlement Auditor (Ref. #6041)
Location: 701 Brickell Avenue, Suite 2550, Miami, FL 33131

Duties: Review and audit settlement of fixed income securities trades executed daily by trading desk staff and prepare detailed reports on findings. Draw on experience with settlement of fixed income securities in Euroclear and other clearing depositories in US and abroad, including but not limited to, US and Non-US sovereign and corporate debt instruments; fixed income corporate actions and regulations (e.g., TMPG fail charge); transaction booking platforms (Pershing’s Netex360). Utilize knowledge of market settlement processes and related procedures (e.g., stock loan, cross border, day light, buy-ins) to address and resolve transaction fails and settlement delays; margin and cash accounts requirements. Audit and maintain quality assurance of settlements related to trades placed by trading desk staff. Collect and analyze data to detect deficiencies, discrepancies, fraud, or non-compliance with laws, regulations, and management policies. Monitor and maintain Bloomberg TOMS platform, set up client basis, and settlement instructions, and review trading activity for each customer. Set priorities in order to work with deadline and cut off times. Confer with company officials about transactions and regulatory matters. Report to management about audit results and recommend actions in operations procedures. Examine records and communicate with staff to ensure recording of transactions and compliance with laws and regulations. Assist with resolving any issues as they pertain to analytics of data. Use Visual Basic Language, Excel and related software to perform duties.

Requirements: Bachelor’s Degree (or foreign equivalent) in Business Administration, Finance or a related field plus three (3) years of post-baccalaureate experience within the Finance industry reflecting demonstrable ability in the skill set described above. Must be fluent in Spanish. Must possess or be able to obtain Series 99 license as per FINRA requirement. Company will pay licensure expenses.

Contact: Eva María González
701 Brickell Avenue, Suite 2550
Miami, FL 33131
egonzalez@bulltick.com