Brokerage Controls Analyst
2 months ago
The Business Risk and Controls Analyst focuses on determining the reliability and effectiveness of internal financial controls across the company. Under general supervision, this job is responsible for testing financial records, processes and systems, auditing the recording of transactions and preparing reports of findings and recommendations for management.
Key Responsibilities and Duties
- Monitors, evaluates, and tests financial records, processes, and systems.
- Audits recording of transactions and compliance with applicable laws, agreements, and policies.
- Prepares reports of findings and recommendations to management.
- Supports cross-functional implementation of compliance programs including analysis of transaction-level risks in operational areas.
- Drafts documentation of business processes, risks and controls.
- Analyzes policies and procedures currently in place within the organization to identify gaps and weaknesses.
- Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
- University (Degree) Preferred
- 2+ Years Required; 3+ Years Preferred
- SRC Indicator: NRF
- Physical Requirements: Sedentary Work
6IC
Key Job Responsibilities:
• Perform QC analysis on transactions according to Standard Operating Procedures (SOPs) and published policies and procedures
• Document QC results correctly for trending and analysis
• Assist Sr. Risk and Control with error trending, error reporting and root cause analysis of transactions
• Collaborate with the Sr. Risk & Controls and BSS teams to maintain 100% alignment between SOP and P&P manuals
• Participate in problem-solving/continuous improvement efforts to improve quality standards
• Assist in maintaining and improving quality metrics that can be utilized by management team and individual operations employees
• Assist Sr. Risk and Controls with Audit requests
• Review customer complaints to identify quality related complaints
• Participate in project work as needed
QUALIFICATIONS:
Required Qualifications:
• 2+ years of financial services experience
Preferred Qualifications:
• 2+ years of experience with Brokerage Services applications - NetX360, EXP AG, Case Manager, Siebel, etc.
• Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
• 2+ years' experience and knowledge of standard and complex brokerage transactions – IGO and NIGO
• Ability to maintain an objective assessment while conducting and reporting results
• Effective communication skills; speaks clearly and expresses self well in groups and in one-to-one conversations; conveys information clearly and effectively through formal and informal written documents
• Ability to make timely and sound judgments with limited guidance; including under some ambiguous circumstances
• Build strong and collaborative relationships with peers, Business Partners and BSS management
• Handles day-to-day work challenges confidently; is willing and able to adjust to multiple demands, shifting priorities, demonstrates flexibility
• Ability to manage day to day responsibilities to meet team goals and SLA
Anticipated Posting End Date:
Base Pay Range: $53,600/yr. - $79,600/yr.Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
_____________________________________________________________________________________________________
Company Overview
TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.
Benefits and Total Rewards
The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.
Equal Opportunity
We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Read more about the Equal Opportunity Law here.
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:
Phone:
Email:
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.
For Applicants of Nuveen residing in Europe and APAC, please click here.
-
Deductions Analyst
1 month ago
Frisco, Texas, United States Keurig Dr Pepper Full timeThe Deductions Analyst will be a critical member of the Deductions team within Finance Business Services, focusing on managing and analyzing deductions and liaising with the Financial Systems team to optimize the use of High Radius Cloud. This individual will also be responsible for collaborating with our off-shore Claims team. This role requires a...
-
Senior Benefits Analyst
1 month ago
Frisco, Texas, United States Keurig Dr Pepper Full timeThis position assists with the administration and design of retirement programs. This position requires a high degree of organization and internal and external collaboration. The Sr. Benefit Analyst works closely with the Benefit Operations team to execute the strategies being implemented by KDP on both the Defined Contribution and Defined Benefit plans....
-
M&A Financial Analyst
1 week ago
Frisco, Texas, United States Cain Watters & Associates Full timePosition OverviewThe Merger & Acquisition Analyst role is available at 7 Pillars, a subsidiary of Cain Watters & Associates. This firm specializes in assisting dental professionals with the transition process, focusing on private practice dental transitions to DSOs, private equity entities, and strategic buyers.Role SummaryReporting directly to the Director...
-
Senior Robotics Analyst
3 weeks ago
Frisco, Texas, United States TIAA Full timeThe Senior Robotics Analyst develops business requirements for Robotic Process Automation (RPA) and Robotic Desktop Automation (RDA) related projects, assuring system specifications address the stated requirements and system testing occurs prior to project implementation. Working under limited supervision, this job contributes to the development and testing...
-
Third-Party Cyber Risk Analyst
1 month ago
Frisco, Texas, United States TIAA Full timeTIAA has a fantastic opportunity for a Third-Party Cyber Risk Analyst. This position will identify and manage potential information security risks to the environment by conducting control assessments, vendor due diligence and identifying remediation action plans to mitigate Information Security risks. This role works under limited supervision and will also...
-
Senior Data Governance Analyst
4 weeks ago
Frisco, Texas, United States TIAA Full timeThe Enterprise Data Governance & Management team sits within the Chief Data & Artificial Intelligence (AI) Office and is responsible for defining the data governance vision, driving capability development and scaling adoption for the enterprise. With the mission to deliver trusted data to every decision, interaction, and process across the Enterprise, the...
-
IT Risk Audit Lead Specialist
1 week ago
Frisco, Texas, United States OpTech Full timeWhy choose OpTech?OpTech is a woman-owned organization that prioritizes your insights, fosters your development, and consistently supports you. At OpTech, you will receive health and dental benefits from your first day of employment, along with opportunities for training, flexible and remote work arrangements, career advancement, a 401K plan, and competitive...
-
Senior Financial Analyst
17 hours ago
Frisco, Texas, United States RS&A LLC Full timeAbout the RoleWe are seeking a highly skilled Senior Accountant to join our team at RS&A LLC. As a Senior Accountant, you will play a critical role in overseeing the accounting functions related to inventory management and financial reporting.Key ResponsibilitiesInventory Management: Oversee all aspects of inventory accounting, including valuation,...
-
Staff Auditor
3 weeks ago
Frisco, Texas, United States TIAA Full timeInternal Audit Data AnalystThe Internal Audit Data Analyst provides analytics support on confidential and time-sensitive internal audit and investigations projects. Under supervision, this job develops data analytics and automated solutions to identify potential internal control issues pertaining to the project area. Key Responsibilities and DutiesPrepares...
-
Frisco, Texas, United States Advantix Full timeJob OverviewPosition: Financial Operations Specialist, ConnectivityCompany: AdvantixLocation: RemoteAbout Our Company:Advantix is a rapidly expanding organization comprised of passionate individuals, including customer service experts, channel advocates, technology enthusiasts, analysts, developers, and creative minds. Our mission is to transform the...
-
Credit Risk Quality Assurance Supervisor
1 week ago
Frisco, Texas, United States Social Finance Ltd Full timeEmployee Applicant Privacy NoticeAbout Us:At Social Finance Ltd, we are dedicated to transforming the financial landscape for our members.We are a pioneering financial services organization and national bank, leveraging cutting-edge, mobile-first technology to empower millions of individuals in achieving their financial aspirations. As the industry undergoes...
-
Financial Operations Associate
1 week ago
Frisco, Texas, United States Advantix Full timeJob OverviewPosition: Financial Operations AssociateCompany: AdvantixLocation: RemoteAbout Us:At Advantix, we are a rapidly expanding organization filled with passionate individuals including customer service experts, technology enthusiasts, analysts, and creative minds. Our mission is to redefine the connected experience, delivering innovative solutions and...
-
Data Quality Analyst
3 weeks ago
Frisco, United States W3R Consulting Full timeLong term contract with benefits available supporting our long time banking client. Position does require two days a week onsite. Must have prior experience in the financial services industryThe Data Quality Analyst will support the definition of data quality standards, requirements, and specifications for data quality controls in the data lifecycle. They...
-
Data Quality Analyst
3 weeks ago
Frisco, United States Teamware Solutions a division of Quantum Leap Consulting Pvt. Ltd Full timeThe Data Quality Analyst will support the definition of data quality standards, requirements, and specifications for data quality controls in the data lifecycle. They will also provide support for operational processes that measure, monitor and report on data quality levels as well as the remediation of identified data quality issues.The person will meet...
-
Data Quality Analyst
3 weeks ago
Frisco, United States Teamware Solutions a division of Quantum Leap Consulting Pvt. Ltd Full timeThe Data Quality Analyst will support the definition of data quality standards, requirements, and specifications for data quality controls in the data lifecycle. They will also provide support for operational processes that measure, monitor and report on data quality levels as well as the remediation of identified data quality issues.The person will meet...
-
Cyber Security Analyst II
3 months ago
Frisco, United States Axelon Full timeJob Title: Cyber Security Analyst II (Hybrid) Location: Frisco, TX or Charlotte, NC, or Denver, CO or Roseland, NJ, then Woodbridge, NJ Job Description: The Information Security Analyst participates in the development, communication, implementation, enforcement and monitoring of security controls to protect the organization's technology assets from...
-
Deductions Analyst
1 month ago
Frisco, United States Keurig Dr Pepper Full timeThe Deductions Analyst will be a critical member of the Deductions team within Finance Business Services, focusing on managing and analyzing deductions and liaising with the Financial Systems team to optimize the use of High Radius Cloud. This individual will also be responsible for collaborating with our off-shore Claims team. This role requires a...
-
IT Auditor Risk Lead Analyst
1 month ago
Frisco, United States OpTech Full timeWhy work at OpTech? OpTech is a woman-owned company that values your ideas, encourages your growth, and always has your back. When you work at OpTech, not only do you get health and dental benefits on the first day of employment, but you also have training opportunities, flexible/remote work options, growth opportunities, 401K and competitive pay. Apply...
-
Senior Benefits Analyst
1 month ago
Frisco, United States Keurig Dr Pepper Full timeThis position assists with the administration and design of retirement programs. This position requires a high degree of organization and internal and external collaboration. The Sr. Benefit Analyst works closely with the Benefit Operations team to execute the strategies being implemented by KDP on both the Defined Contribution and Defined Benefit plans....
-
Business Risk Lead Analyst
2 weeks ago
Frisco, United States OpTech Full timeWhy work at OpTech? OpTech is a woman-owned company that values your ideas, encourages your growth, and always has your back. When you work at OpTech, not only do you get health and dental benefits on the first day of employment, but you also have training opportunities, flexible/remote work options, growth opportunities, 401K and competitive pay. Apply...
-
Business Risk Lead Analyst
4 weeks ago
Frisco, United States OpTech Full timeWhy work at OpTech? OpTech is a woman-owned company that values your ideas, encourages your growth, and always has your back. When you work at OpTech, not only do you get health and dental benefits on the first day of employment, but you also have training opportunities, flexible/remote work options, growth opportunities, 401K and competitive pay. Apply...
-
Merger & Acquisition Analyst - 7 Pillars
4 weeks ago
Frisco, United States Cain Watters & Associates Full timeThe Merger & Acquisition Analyst opening is with 7 Pillars, an affiliate company of Cain Watters & Associates. 7 Pillars helps dental professional navigate the transition process, specializing in private practice dental transitions to DSOs, private equity groups, and strategic buyers. Summary/Objective Reporting to the Director of Transaction Success of 7...
-
Data Quality Analyst
2 weeks ago
Frisco, United States Saxon Global Full timeJob Description: This is not technical - this is someone to work with the business side. The Data Quality Analyst will support the definition of data quality standards, requirements, and specifications for data quality controls in the data lifecycle. They will also provide support for operational processes that measure, monitor and report on data quality...
-
Senior Business Analyst
1 week ago
Frisco, United States Magellan Health Full timeRequired Qualifications - Outbound Encounters Submissions: expert knowledge of X12 format to include 837, 999 and 277 files. Professional experience in the managed care, healthcare, Medicaid or other health insurance industries. Experience in Healthcare claims operations and/or encounter submissions preferred. Experience in a data warehouse environment and...
-
Insights Analyst
3 weeks ago
Frisco, United States Community Coffee Full timePlease ensure sure your internet browser is updated to the latest version. Candidates have experienced issues with submitting applications from older browser versions. Department: Strategic AnalyticsReports To: Sr. Manager Insights Travel Required: Up to 10%Why Join Community Coffee? Community Coffee Company is the #1 family-owned and operated retail coffee...
-
Sr Business Systems Analyst
4 weeks ago
Frisco, United States Disability Solutions Full timeAt T-Mobile, we invest in YOU! Our Total Rewards Package ensures that employees get the same big love we give our customers. All team members receive a competitive base salary and compensation package - this is Total Rewards. Employees enjoy multiple wealth-building opportunities through our annual stock grant, employee stock purchase plan, 401(k), and...
-
Senior Analyst, Operational Risk
4 days ago
Frisco, United States SoFi Full timeEmployee Applicant Privacy NoticeWho we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The...
-
CSL Analyst
1 week ago
Frisco, United States teamworkonline Full timeLEGENDS Founded in 2008, Legendsâ operating divisions worldwide include â Global Partnerships, Global Sales, Hospitality, Global Planning, Global Merchandise, Legends IQ, Attractions, Growth Enterprises â offering clients and partners a 360-degree data and analytics fueled service solution platform to elevate their brand and execute their...
-
CSL Analyst
3 weeks ago
Frisco, United States Legends Full timeLEGENDS Founded in 2008, Legends' operating divisions worldwide include - Global Partnerships, Global Sales, Hospitality, Global Planning, Global Merchandise, Legends IQ, Attractions, Growth Enterprises - offering clients and partners a 360-degree data and analytics fueled service solution platform to elevate their brand and execute their vision. Currently,...
-
Capital Management Lead
4 weeks ago
Frisco, United States Analytic Recruiting Inc. Full timeA medium-sized financial institution that is growing quickly is seeking a Capital Management Lead to be involved in the preparation of the Capital-related sections of Comerica’s annual Capital Plan, preparation of materials for the Capital Management Committee (CMC), and the monthly capital forecasting process. Location: Frisco, TX (2...
-
Financial Systems Analyst
3 weeks ago
Frisco, United States Keurig Dr Pepper Full timeSupport KDP’s Financial Business Services (FBS) department by partnering with the Controller, Commercial Finance and IT departments to provide front-line support for all financial systems, design and develop key financial reports and analysis and develop process automation primarily in the Trade & Marketing Spend, Accounts Receivable, Accounts Payable,...
-
Capital Manager
4 weeks ago
Frisco, United States Analytic Recruiting Inc. Full timeA medium-sized financial institution that is growing quickly is seeking a Capital Manager to continue expanding their capital management team, meeting growth initiatives in their anticipated growth to $100B AUM. The candidate will be responsible for the bank’s Capital Management Forecasting Plan and Regulatory Stress testing. Location: Frisco, TX...