Brokerage and Compliance Analyst
Brokerage and Compliance Analyst
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Role
Stash Invest is in search of a Brokerage and Compliance Analyst to assist in the day to day Brokerage Operations of a rapidly growing investment advisor.
Responsibilities
- Assist in the day to day brokerageoperations including account management Clearance/Settlement and Regulatory Compliance
- Conduct daily Operational reviews of the Firms accounts including account position and balance reconciliations and issue identification/resolution
- Assist with client service initiatives for Firms clients
- Implement Operations and Compliance control framework including periodic reviews and sampling/testing as part of Firms Supervisory control program and policies and procedures
- Contribute to the development of re-engineering methods to improve processes reduce risks increase controls and/or increase customer satisfaction
- Document process flows and create/update procedure manuals
- Assist in researching of New Business Initiatives and product development
Requirements
- A Bachelors degree
- 2-5 years of experience working in financial services or Financial Technology
- Strong written and oral communications skills
- Proficiency with Excel
Required Experience:
IC
Employment Type
Full Time
