Operations Officer (Securities)

In this role your key responsibilities are:
-Manage transfer requests (on and off market) to external brokers and counterparties efficiently and professionally, meeting required timelines.
-Establish, maintain, and activate client accounts, ensuring strict compliance with KYC (Know Your Customer), AML (Anti-Money Laundering), and EDD (Enhanced Due Diligence) requirements.
-Process client correspondence, including forms, applications, and related requests, including Deceased Estate documentation with a focus on accuracy and adherence to compliance standards.
-Ensure all activities comply with internal procedures, control guidelines, ASX market regulations, and the organization’s compliance frameworks.
-Liaise and coordinate with Front Office, internal departments, external brokers, and counterparties to ensure daily operations meet organizational and regulatory standards.
-Monitor and resolve outstanding client requests, queries, and issues promptly, providing timely responses or holding replies as appropriate.
-Maintain and update client account records to ensure accuracy and compliance.
-Demonstrate strong problem-solving skills and perform a range of administrative duties as part of a dynamic operations team.
-Communicate effectively and promptly with colleagues and supervisors regarding operational issues.
-Commit to meeting service levels, ensuring all requests are processed accurately and within agreed timeframes.
-Undertake additional related duties and ad-hoc tasks as required.
-Remain adaptable to changes in role and responsibilities as business needs evolve.


Requirements
-Tertiary qualification in Accounting, Finance, Business Administration, Economics, Banking, or a related discipline, or equivalent relevant industry experience.
-1–2 years’ experience in a relevant financial services environment (e.g. securities operations, client onboarding, custody, broking, platform operations, or banking) preferred.
-Understanding of financial markets, securities operations, and basic accounting concepts, particularly in an operational or client onboarding context.
-Strong service orientation, with the ability to respond to client and internal stakeholder requests professionally and efficiently.
-High attention to detail and reconciliation mindset, ensuring accuracy, completeness, and adherence to control procedures.
-Strong problem-solving and analytical skills, with the ability to exercise sound judgment and work independently when required.
-Excellent time management skills, with the ability to prioritise workloads and perform effectively under pressure.
-Proficiency in Microsoft Office, particularly Excel, for data processing, tracking, and reporting.
-Strong communication and interpersonal skills, with excellent written and spoken English and the ability to work collaboratively within a team environment.
-High ethical standards, strong work ethic, and a positive, adaptable attitude in a regulated operational environment.