Associate Analyst - Digital Operations

About the role

This role will perform various functions to help process and support our firm’s staff and clients in a fast-paced, multi-tasked, high-pressure securities market environment. The candidate will be engaged in daily tasks including cashiering and funds movement, New Accounts, ACATs, and will serve as the final processor for high-risk matters such as assets/money movement requests and reporting review. Responsibilities include ensuring accurate record keeping, assisting Compliance on special projects, and researching client complaint issues. The position involves direct interaction with clients, brokers, and internal support staff.

Responsibilities

• Perform a variety of operations functions following pre-established procedures.
• Ensure accurate record keeping to maintain firm compliance.
• Remain current on internal work processes, procedures, and product knowledge.
• Field and respond to client inquiries and issues via phone, email, and fax with a high level of customer service and integrity.
• Identify potential operational risks or inefficiencies and recommend or implement improvements.
• Assist in streamlining operational processes, documenting process flows, and communicating proposed updates to leadership.
• Complete daily responsibilities to ensure client information is updated and correct.
• Prioritize multiple functions based on client and firm needs.
• Assist with ad hoc high-level projects while maintaining typical day-to-day responsibilities.
• Serve as a subject matter expert for various brokerage back-office functions and processes.
• Assist with training and onboarding of new operations associates.
• Perform assets/money movement requests, CIP (Customer Identification Program), new account opening, and reporting review.
• Work closely with management and Compliance to assist on special projects and research client complaint issues, including completing responses to complaints for management review.
• Perform tasks with little to no supervision during processing.
• Understand when to escalate matters and seek assistance.

Qualifications

• Entry-level; financial services industry experience preferred.
• FINRA Series 7 and 63 licenses required.
• Bachelor’s degree in Finance, Economics, or Business preferred.
• Solid understanding of financial/brokerage/trading services industry or equivalent operations processing knowledge, preferably securities brokerage with relevant work experience.
• Ability to work well with others, multitask, and handle issues under time constraints.
• Ability to work in a high-pressure environment with strict SLAs and deadlines.
• Results-oriented with strong organizational skills, attention to detail, and accuracy.
• Excellent oral and written communication with a strong desire to provide exceptional customer experience.
• Demonstrated experience handling client concerns and issues with tact and diplomacy.
• Ability to exercise independent thought and judgment and adapt to new tasks with little notice.
• Proficiency in Microsoft Office (Word, Outlook, Excel).
• Ability to learn internal trading systems quickly.
• Knowledge of or experience working in financial services and/or regulated environments is a plus.
• Ability to manage multiple spreadsheets and computer systems simultaneously.
• Ability to communicate effectively in person, email, and across departments.
• Understanding of Ally Invest and compliance and audit.

Minimum Qualifications

• 0+ years of experience.
• High school diploma or GED equivalent.

Pay

Base pay range: $47,840.00 – $75,000.00. An individual’s position in the range is determined by the specific role, scope and responsibilities, work experience, education, certifications, training, and additional qualifications. The company reviews internal pay, the competitive market, and business environment prior to extending an offer.

This position is eligible to participate in the annual incentive plan.