Craig-Hallum · 1 day ago
Trading Operations Specialist
Minneapolis, MN
Full-time
Onsite
Mid LevelCraig-Hallum Capital Group (CHLM) is a full-service investment bank focused on Equity Capital Markets and institutional brokerage. The Trading Operations Specialist will provide trade/account support to customers and assist various teams with regulatory compliant transaction processing and reporting.
BankingConsulting
Responsibilities
New account opening and servicing – work with institutional customers, internal teams, and clearing broker to establish new accounts (mainly DVP, some cash settlement) and provide ongoing maintenance and support as needed. Conduct KYC/CIP and monitoring for OFAC/FinCEN red flags
Cash and securities movements – Facilitate the processing of wires, checks, DWACs, DTC transfers, journals for customer and firm accounts
Daily customer allocation processing – Work with CHLM Traders, customers, custodians, prime brokers, clearing broker to facilitate securities allocations to customer accounts via CHLM’s Order Management System (OMS), Fidessa. Manage exceptions to ensure T+1 affirmation and settlement requirements
Corporate Services support - Work with the CHLM Traders and corporate customers to facilitate account/transaction processing and settlement for corporate buybacks, At the Market Offerings (ATMs), restricted/insider stock sales, and Rule 144 transactions
New Issue and securities distribution support – Assist with distribution processing and customer support when CHLM participates in IPOs, follow-on offerings, PIPE offerings, registered direct offerings, ATMs, and private placements. Work with internal teams (Sales, Trading, Investment Banking, Compliance, Accounting) and issuers, clearing broker, transfer agent, DTCC as necessary to ensure an orderly and efficient distribution of securities and allocations of those securities
Regulatory Reporting support and exception processing – Assist with daily and ongoing reviews of CHLM’s regulatory reporting environment. Includes ongoing monitoring, documenting, and exception management of CAT/CAIS, TRF/ORF, Rule 606. Working with CHLM Trading staff, Compliance, vendors/reporting agents to ensure accurate and timely reporting and data assurance of vendor driven regulatory reporting output
Best Execution Review and Internal Reporting – Assist with the reviews of CHLM’s execution quality and prepare internal reports for review by Best Execution Committee. Work with 3rd party Best Execution analysis technology vendors
Exception Reporting, Trade Surveillance and Supervisory Reviews – Assist with daily and ongoing reviews of exception reports, trade surveillance monitoring and reporting, and the production of reports for supervisory/Compliance oversight purposes
Procedural Documentation – Assist with the documentation and production of Standard Operating Procedures and Desk Procedures which are designed to serve as instructions for daily job functions and supervisory tasks. Procedural output is also designed to support CHLM’s written supervisory procedures (WSPs) and supervisory control procedures (SCPs)
Qualification
Required
If permanent hire – requires SIE, Series 7, 24, 63, 57 licenses or willingness to obtain within 6 months of hire
Technical proclivities (advanced use of Excel and other Microsoft products) and familiarity with the functions of OMS technology, clearing broker platforms and regulatory reporting vendor platforms
Must possess strong written and communication skills
Must be able to respond quickly to internal/external parties and resources
Not a work from home job
Must be flexible with hours and workload based on the business environment
Preferred
If temp hire – While not required, we will “sponsor” your existing, applicable licenses while you are assigned to CHLM
We are very flexible with needs to be offsite or manage appointments, must be accountable to team based on division of labor
We are a small firm that offers big opportunities. We allow candidates to bring and develop strengths and we provide upward mobility based on those strengths
Benefits
Medical, dental and vision benefits
401K savings plan with employer contribution
Unlimited PTO
Voluntary long term disability insurance
Flexible Spending Account and/or Health Savings Account
Commuter benefits
Company
Craig-Hallum
As an employee-owned firm, every team member is personally invested in our clients’ success.
Founded in 1997
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Jeannie Sonstegard
CFO
Chris Jensen
Chief Compliance Officer
Recent News
2026-02-05
2026-02-03
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