Control Room Analyst

OSTTRA Group; Philadelphia (Philadelphia County); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Paid Parental Leave

Paid Time Off

Referral bonus

Professional Development Assistance

Job summary

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. The Control Room Analyst role supports the Legal and Compliance Department by detecting and escalating policy violations, risk anomalies, and suspicious activity.

The Analyst analyzes data, controls processes, and keeps regulatory records in a small team under the direction of the Associate General Counsel Compliance.

Qualifications

• Bachelor's degree in business, finance, or related field preferred.
• 1-3 years’ experience within financial services industry preferred.
• FINRA Series 7 Securities License preferred; or the ability to obtain with the first 12 months of employment.
• Prior experience with Proserv, eQube, and Ziplip a plus.
• Ability to interact effectively across various levels of employees, including Executive staff members.
• Proficiency in MS Excel.
• Excellent organizational, analytical and problem-solving skills.
• Outstanding written and verbal communication skills.
• Self-starter with the ability to multi-task and prioritize workload and projects.

Responsibilities

• Daily pre-approval of employee securities trading
• Daily screening for trading in Restricted List and Watch List securities
• Ongoing review and recording keeping of outside investment accounts; outside business activities; political contributions; and gifts/entertainment
• Daily review for, and resolution of, trading violations
• Monitoring commission mark-ups
• Compliance testing of operational policies and procedures
• Additional duties as assigned related to monitoring and testing for risks related to conflicts or the appearance of potential conflicts involving the Firm and its employees

Skills

Detail Oriented & Driven

Problem Solving & Critical Thinking

Analytical ability

Cross-Functional Collaboration

Education

Bachelor's degree in business, finance, or related field

Tools

Proserv

eQube

Ziplip

MS Excel

Job description

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. The Control Room Analyst plays a key role in the Firm’s Legal and Compliance Department and is responsible for the detection and escalation of policy violations, risk anomalies and suspicious activity. This individual works with sensitive data in a small team environment under the direction of the Associate General Counsel Compliance and in collaboration with other compliance officers from the various business lines. The Analyst analyzes data, controls processes, and keeps required regulatory records.

What You Are Good At

• Detail Oriented & Driven– Thorough and rigorous attention to all detail. Ability to manage multiple high-touch projects simultaneously with precision and accuracy. Takes initiative and ownership in all aspects of role from logistics to processes and is unafraid to get their hands dirty and eager to learn.
• Problem Solving & Critical Thinking –Thorough and resourceful problem solver with a solutions-based approach to every situation. Proactively takes on challenges with optimism and a helpful attitude.
• Analytical ability – Able to effectively review information and data in order to identify issues and opportunities.
• Cross-Functional Collaboration: Work collaboratively with others across the organization to achieve shared objectives.

Responsibilities

• Daily pre-approval of employee securities trading
• Daily screening for trading in Restricted List and Watch List securities
• Ongoing review and recording keeping of outside investment accounts; outside business activities; political contributions; and gifts/entertainment
• Daily review for, and resolution of, trading violations
• Monitoring commission mark-ups
• Compliance testing of operational policies and procedures
• Additional duties as assigned related to monitoring and testing for risks related to conflicts or the appearance of potential conflicts involving the Firm and its employees

Qualifications

• Bachelor’s degree in business, finance, or related field preferred
• 1-3 years’ experience within financial services industry preferred
• FINRA Series 7 Securities License preferred; or the ability to obtain with the first 12 months of employment
• Prior experience with Proserv, eQube, and Ziplip a plus
• Ability to interact effectively across various levels of employees, including Executive staff members
• Proficiency in MS Excel
• Excellent organizational, analytical and problem-solving skills
• Outstanding written and verbal communication skills
• Self-starter with the ability to multi-task and prioritize workload and projects

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.

Janney is an equal opportunity employer and makes employment decisions on the basis of merit and business needs.