Brokerage Operations Cover Letter

Please consider me for the brokerage operations opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for senior administrative and office support to a department, service line or local brokerage services department or specialized team.

Please consider my experience and qualifications for this position:

• Proven abilities in developing web applications using some of the following language(s) (,VBA, Java, C#/VB.net, Javascript, jQuery, ExtJS), AngularJS and other application development languages
• Lean, TPS or other continuous improvement experience preferred
• Thorough understanding of the markets - options, margins, trading
• Supervise all support staff and day-to-day activities
• Prepare and process new hire paperwork
• Coordinate with HR and Regional Operations Manager on all employee relations issues
• Ensure efficient office operations by overseeing office equipment, facilities management, and other office purchasing
• Ensure all federal and state, local and company policies are adhered to

I am excited to be applying for the position of brokerage operations. Please accept this letter and the attached resume as my interest in this position.

In the previous role, I was responsible for support on projects changing back office systems and processes to meet new business requirements.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Analyze and improve processes and procedures with an eye for reducing risk and eliminating repetitive effort
• Help influence client behavior to achieve superior operational and client service outcomes
• Develop a detailed understanding of the internal and external mechanics of asset transfers, cash and securities settlements across global markets
• T-SQL and /or PL-SQL experience preferred
• Strong brokerage operational background with a depth of understanding of document, regulatory and process requirements
• Strong knowledge of and experience of supporting managed accounts
• Build and maintain a high quality, effective and professional relationship will all advisory professionals, clearing firm and internal business units
• Possess up-to-date broker/dealer regulatory knowledge, includes, but not limited to FINRA, SEC, IRC, and MSRB

I submit this application to express my sincere interest in the brokerage operations position.

In the previous role, I was responsible for oversight of back office services including reconciliation, cash processing, corporate action processing and direction for transaction posting; serve as escalation point for back office.

Please consider my qualifications and experience:

• Administer local office awards and recognition
• May serve as proxy for other office managers within the region
• Ensure that all broker/salesperson, and office licensing is active and current
• Prepare the annual operating budget, scheduled forecasts, variance analysis, and preparation and distribution of financial reporting to Market Leaders
• Plan and coordinate office events, which include preparation of the budget, working with vendors, agenda, and guest amenities
• Partner with Regional Operations, and Shared Services, including HR, IT, Marketing, Research, Operations, and Accounting
• Continuous commitment to open communication with management, staff, and sales professionals
• Develop systems, processes and/or teams that are flexible, adaptable, and results oriented in reaching the goal of maximum efficiency

Please consider me for the brokerage operations opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for oversight of back office services including reconciliation, corporate action processing and direction for transaction posting; serve as escalation point for back office.

My experience is an excellent fit for the list of requirements in this job:

• Acts as the liaison for our clearing firm
• Managing strategic shipper accounts directly and developing strategies to manage smaller accounts, while maintaining high level of customer service
• Project Management - Support the build out, development, testing and implementation of various strategic business initiatives (migration of cash prime brokerage client charging engine, new financing P&L engine for shorts, enhancement of client financing reports, decommissioning of legacy systems)
• Assists with local office awards and recognition programs oversees any business promotion and/or publicity activities
• Some understanding of end to end corporate actions processing
• Strong experience in managing a high paced freight brokerage environment with diverse teams
• Work directly with clients, client services teams in the Securities Division, and Margin Lending Operations to ensure accounts are fully funded and proper client authorization is received for all asset transfers
• Work closely with Treasury Operations on cash settlement to minimize settlement delays for clients, and to mitigate the impact of large client transfers to firm funding projections

I would like to submit my application for the brokerage operations opening. Please accept this letter and the attached resume.

Previously, I was responsible for direction and support for all Brokerage Operations strategy, programs, policies, procedures, and projects for all offices across their region.

Please consider my qualifications and experience:

• Understand and utilize performance metrics and trends to align processes, people and set goals to meet customer needs
• Leverages performance management to identify and drive continuous learning and development
• Drive and support the development of policies, procedures and quality assessments
• Communicate and align team’s roles and responsibilities to the organizational strategy
• Experience leading a function with a complex process orientation for a service offering that requires a high-touch customer service experience outside of the industry will also be considered
• Strong experience in a processing environment is preferred
• Knowledge of SharePoint development and creation and familiarity with HTML
• Drive superior customer experience