Operations / Compliance Analyst

2 weeks ago

Boca Raton FL United States WallachBeth Capital Full time

WallachBeth Capital is a leading provider of institutional execution services, offering our clients a full spectrum of solutions to help them navigate increasingly complex markets.

WallachBeth Capital is a leading provider of institutional execution services, offering our clients a full spectrum of solutions to help them navigate increasingly complex markets.

We are seeking an operations/compliance analyst to join our team in our Boca Raton, Florida office. This role will handle daily compliance functions and full lifecycle trade support with an emphasis on trade settlements, reconciliations, confirmations, and account openings. As a member of a small team, you will work on various projects.

Under direct supervision, you will use basic-level knowledge and skills obtained through experience and/or training to provide support in specific activities within our compliance and operations team. You will follow established procedures to perform routine tasks and receive guidance and direction to perform other work with more variety and complexity, requiring limited decision-making responsibility. You will serve as a resource to both operations and compliance in resolving questions and problems.

Essential Duties and Responsibilities:

  • Work closely with the CCO to complete daily tasks.
  • Perform timely and accurate recording and settlement of trades; resolve any trade discrepancies.
  • Escalate new or unusual issues to a higher level.
  • Ensure all trades are confirmed on trade date.
  • Master the firm’s technology systems.
  • Complete daily compliance/operational reporting & controls.
  • Respond to all queries within the current business day.
  • Proactively identify and progress opportunities to enhance and improve efficiency in operations.
  • Assist in researching trade problems and suggest appropriate corrective actions.
  • Resolve trade issues.
  • Update and maintain trade data and information in required databases.
  • Operate and use required software applications.
  • Perform other duties and responsibilities as assigned.

Abilities:

  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Spot arising opportunities and have the assertiveness to seize them.
  • Read, interpret, and apply transaction information.
  • Analyze and solve problems.
  • Clearly articulate issues and influence resolution.
  • Communicate effectively, both orally and in writing, with associates and external customers.
  • Work independently as well as collaboratively within a team environment.
  • Handle stressful situations and provide a high level of customer service in a calm and professional manner.
  • Be proficient in working with all aspects of Excel.

Education/Previous Experience:

  • Bachelor’s degree in Finance, Economics, or a related field.
  • 2+ years of experience in the financial services industry.
  • Working knowledge of operations and settlements.
  • Series 7 and 63 desired.

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