AWM - Operations - PWM Margin Lending - Analyst

2 weeks ago

Salt Lake City, UT, United States Spectraforce Technologies Full time
Job title: AWM - Operations - PWM Margin Lending - Analyst

Job location: Salt Lake City, UT

Duration: 6 months

Job Description

The Margin Lending Analyst will support the Private Wealth Management (PWM) Margin Lending team in delivering operational excellence across margin calculation, monitoring, and exception handling. This position is essential for ensuring adherence to regulatory requirements and upholding client service standards, while providing comprehensive support to the advisor team.

We promote cross training and ensure our Analysts develop a broad level of understanding across the varied departmental functions carried out. You can expect to be given early responsibility and, in return, you will be expected to contribute your own ideas to make a difference and add value to the group. The role will involve close interaction with other areas of the bank including Credit, Risk, and Sales, therefore requiring strong communication and interpersonal skills.

Key Responsibilities
  • Margin Call Issuance & Monitoring: Execute daily margin calculations, validate call amounts, and issue margin calls in accordance with regulatory and internal guidelines.
  • Exception Handling: Monitor and resolve margin exceptions, including non-call issuance and late liquidations, ensuring risk mitigation and compliance.
  • Manual Support: Provide manual margin calculations and overrides for high-value clients not supported by automated tools.
  • Regulatory Governance: Apply margin rules (e.g., Reg T, FINRA 4210) and ensure adherence to firm-wide control frameworks.
  • Reporting & Documentation: Maintain accurate records of margin activity, support audit requests, and contribute to control updates.
  • Respond to all incoming queries and interact with many different areas of the bank, in particular Risk, Credit, and Technology.
  • Proactively work on enhancing the team's processes and controls.
  • Resolve and escalate all client disputes and queries.
  • Participate in and manage projects and initiatives within the team and across all regions.
Qualifications
  • Bachelor's degree is required.
  • Strong organizational and multi-tasking skills to balance competing priorities and meet deadlines.
  • Exceptional understanding of products, risks, controls, and escalation processes across Operations.
  • Excellent problem-solving skills; comfort dealing with large datasets and strong numerical aptitude.
  • Motivated, enthusiastic, and career-focused; strong motivation to succeed both individually and as a team.
  • Desire for continued improvement and new challenges, both on a business and personal level.
  • Excel skills an advantage.
  • Excellent communication and interpersonal skills with a strong appreciation of client service.
Preferred Qualifications
  • Good working knowledge of product flows and systems, including OTC derivatives and intercompany processes.
  • Prior experience with the Margin Lending business, systems, flows, products, and client base.

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