Senior Analyst

Roles And Responsibilities

• Validation of paperwork for both new and existing business which includes new business applications, maintenance items, transfer paperwork and other various supplemental accounting paperwork. Review broker dealer new business submissions for accuracy and completeness.
• Provide telephone support to both internal and external customers concerning paperwork requirements, NIGO issues, setting up customer accounts, etc.
• Identify cases that are not in good order (NIGO) to alert our Field force for resolution.
• Process client data into back-office systems with a high level of accuracy with first time right approach.
• Research and resolve operational issues as needed.
• Identify and resolve problems using Root Cause Problem Solving tools.
• Work effectively to meet/exceed productivity and quality standards.
• Adherence to process/organizational policies and procedures.
• Escalations of issues on a priority basis
• Ability to work overtime and/or work in a flexible shift arrangement as per business requirements.
  

• 1-3 years of financial services industry knowledge or experience in similar process support
• Effective communication and documentation skills.
• Knowledge on MS excel, MS word and MS PowerPoint.
• Knowledge on MS excel macros is preferred.
• Ability to challenge the existing process and propose process improvement ideas.
• Adaptability to work in a fast-paced environment, adhere to strict deadlines and good logical & reasoning abilities.
• Due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA.
• Knowledge of registration types, brokerage account features, managed account attributes, billing of managed account
• Working knowledge of the securities industry specifically as it relates to back-office processing for standard non-retirement accounts.
• Knowledge and understanding of FINRA/SEC rules and regulations preferred.
  

• Bachelor’s degree in commerce or finance with preference to Post Graduation or equivalent business experience.
• As a member of the Wealth Management team, you will be subject to supervision requirements including Non-Registered Finger printing (NRF) and personal trading account oversight.
  

Work Timings

• This role requires flexibility to work in shifts (regular, afternoon shift, and night shift in India) as per business requirements on a permanent/rotational basis.
• Team members may require working in India night shifts initially for few weeks for trainings.