Brokerage and Compliance Analyst

2 weeks ago

New York, NY, United States Stash Full time
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 brokerage operations, including account management, Clearance/Settlement and Regulatory Compliance
  • Conduct daily Operational reviews of the Firm's accounts, including account, position and balance reconciliations and issue identification/resolution
  • Assist with client service initiatives for Firm's clients
  • Implement Operations and Compliance control framework, including periodic reviews and sampling/testing as part of Firm's 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 Bachelor's degree
  • 2-5 years of experience working in financial services or Financial Technology
  • Strong written and oral communications skills
  • Proficiency with Excel

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