What are the responsibilities and job description for the Brokerage and Compliance Analyst position at Stash Invest?
Role
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 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
Requirements