Brokerage and Compliance Analyst

Stash Invest; New York (NY); On-site; USD 70,000 - 110,000; Full time

Job summary

Stash Invest is seeking a Brokerage and Compliance Analyst to support the day-to-day brokerage operations of a growing investment advisor. The role involves assisting with account management, settlements, and regulatory compliance, plus operational reviews of accounts, positions and balances.

You will help implement controls, participate in supervisory procedures, and contribute to process improvements and new business initiatives.

Qualifications

• 2-5 years of experience in financial services or fintech.
• Strong written and oral communication skills.

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

Skills

Communication

Job description

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 brokerageoperations, 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

• 2-5 years of experience working in financial services or Financial Technology
• Strong written and oral communications skills