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Brokerage and Compliance Analyst
2 weeks ago
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
- 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
