Brokerage and Compliance Analyst

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

• A Bachelor’s degree
• 2-5 years of experience working in financial services or Financial Technology
• Strong written and oral communications skills
• Proficiency with Excel