• Job Description

  Req#: 15627
  Hilltop Securities is currently looking to hire an Operations Specialist, Sr. within P&S (Purchase and Sales). The Operations group is a collection of sub-departments which is responsible for everything after an account is opened or a trade occurs. The Operations group's responsibilities include opening customer accounts, account maintenance, receiving and delivering money and securities to customers, and many more. P&S (Purchase & Sales) is responsible for the comparison of stocks & bonds traded with street side counterparties. The department reports trade breaks to our traders and correspondents based on reports received daily. P&S is responsible for ensuring these items clean-up for daily settlement. Under moderate supervision, the incumbent performs more complex functions according to department guidelines. May require research and analysis. Essential Functions Monitors RTTM - NSCC/FICC trade comparison systems and works with both internal and external groups to resolve dk's (don’t know) & trade detail discrepancies on trade date. Reviews daily trade exception reports generated from the Hilltop Securities Inc. back-office clearing platform FIS/Phase 3 rectifying breaks and issues identified. Promptly communicates breaks to the introducing broker and escalates items of risk to supervisors. Processes cancelled & rebilled trade instructions received in FIS/Phase 3 system and provides oversight to the reversals and as/of transactions in RTTM. Reviews RTRS and TRACE reporting for exceptions. Provides trade support and research for the Capital Market teams and Introducing Brokers who utilize the clearing firm’s back-office capacities. Performs aged fail research and resolution in conjunction with the Settlements and Securities Control teams. Follows tight timelines and adheres to required reporting, audit, and retention guidelines. Job Requirements High school diploma or equivalent 3+ years’ experience in Broker Dealer back-office operations Basic knowledge of security industry terminology and financial markets Strong Customer focus with effective interpersonal and communication skills Working knowledge of Microsoft products including but not limited to, Excel, Word and Outlook Detail oriented with the ability to prioritize workload to meet daily deadlines. Ability to learn quickly and retain information while demonstrating solid decision-making abilities. Able to work additional hours and/or flexible shift assignments when needed. The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company. About the Company At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.
  High school diploma or equivalent 3+ years’ experience in Broker Dealer back-office operations Basic knowledge of security industry terminology and financial markets Strong Customer focus with effective interpersonal and communication skills Working knowledge of Microsoft products including but not limited to, Excel, Word and Outlook Detail oriented with the ability to prioritize workload to meet daily deadlines. Ability to learn quickly and retain information while demonstrating solid decision-making abilities. Able to work additional hours and/or flexible shift assignments when needed. The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.
  Monitors RTTM - NSCC/FICC trade comparison systems and works with both internal and external groups to resolve dk's (don’t know) & trade detail discrepancies on trade date. Reviews daily trade exception reports generated from the Hilltop Securities Inc. back-office clearing platform FIS/Phase 3 rectifying breaks and issues identified. Promptly communicates breaks to the introducing broker and escalates items of risk to supervisors. Processes cancelled & rebilled trade instructions received in FIS/Phase 3 system and provides oversight to the reversals and as/of transactions in RTTM. Reviews RTRS and TRACE reporting for exceptions. Provides trade support and research for the Capital Market teams and Introducing Brokers who utilize the clearing firm’s back-office capacities. Performs aged fail research and resolution in conjunction with the Settlements and Securities Control teams. Follows tight timelines and adheres to required reporting, audit, and retention guidelines.

• About the company

  Hilltop Holdings Inc. is a financial holding company based in Dallas, Texas.

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