GBM RIA Operations Analyst

Spectraforce Technologies, Inc.; Salt Lake City (UT); On-site; USD 65,000 - 90,000; Full time

Job summary

Spectraforce Technologies, Inc. is seeking a GBM RIA Operations Analyst to support the Global Banking & Markets Registered Investment Advisor team in Salt Lake City. This temporary role focuses on risk mitigation and control frameworks around RIA-initiated investment products.

You will work with front office and operations to manage trade lifecycle tasks, identify process improvements, and enhance data workflows using Excel and BI tools such as Alteryx, Tableau, Python, or SQL.

Qualifications

• Strong understanding of the end-to-end trade lifecycle (execution, clearing, settlement, custody).
• Familiarity with financial products used by RIAs (Equities, Fixed Income, Mutual Funds, Retirement/IRA).
• Awareness of the custodian-advisory model and brokerage operations.
• Ability to identify, assess, and mitigate exposure risks.
• Proficiency with Excel (Pivot Tables, VLOOKUPs) and exposure to automation/BI tools such as Alteryx, Tableau, Python, SQL, or RPA.

Responsibilities

• Support risk mitigation and control frameworks for GBM RIA operations.
• Identify, assess, and mitigate exposure risks in trade lifecycle.
• Manage trade breaks, settlement exceptions, and maintain robust controls.
• Leverage Excel and BI tools to drive workflow scalability.
• Collaborate with front office and middle/back office teams.

Skills

Trade lifecycle

RIA products

Custodian model

Operational risk

Excel

Automation

Tableau

Python

SQL

RPA

Attention to detail

Tools

Alteryx

Tableau

Python

SQL

Job description

Title: GBM RIA Operations Analyst

Location: Salt Lake City, UT

Duration: 2 Months Approx

Hours: M-F: 7am to 5pm

Overview:

These positions support the Global Banking & Markets (GBM) Registered Investment Advisor (RIA) Operations team. This team partners with the business and federation to facilitate business growth with a strict focus on risk mitigation and control frameworks surrounding RIA-initiated investment products.

Key Candidate Requirements & Competencies

1. Domain & Financial Product Knowledge
   • Strong understanding of the end-to-end trade lifecycle (execution, clearing, settlement, and custody).
   • Familiarity with financial products utilized by RIAs (Equities, Fixed Income, Mutual Funds, and Retirement/IRA products).
   • Awareness of the custodian-advisory model and brokerage operations.
2. Operational Risk Management & Control Frameworks
   • Ability to identify, assess, and mitigate exposure risks.
   • Experience managing trade breaks, settlement exceptions, and maintaining robust control environments to prevent operational breaks.
3. Process Improvement & Technological Scalability
   • Proficiency with advanced data manipulation in Excel (Pivot Tables, VLOOKUPs).
   • Exposure to or proficiency in automation and business intelligence tools such as Alteryx, Tableau, Python, SQL, or RPA is highly preferred to help drive workflow scalability.
4. Professional & Interpersonal Competencies
   • High attention to detail; precision in managing custody and settlement tasks.
   • Strong collaboration skills to interface with "the business" (front office) and "the federation" (middle/back office, compliance, legal, technology).
   • Exceptional multi-tasking abilities in a fast-paced environment.