Brokerage and Compliance Analyst

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