Analyst, Operations

Overview

Operations analyst in the Wealth Management team, validating and processing paperwork for new and existing business and providing customer service to internal and external customers.

What you'll do

• Validate paperwork for new and existing business, including new business applications, maintenance items, transfer paperwork and other supplemental accounting paperwork.
• Review broker dealer new business submissions for accuracy and completeness.
• Provide telephone support to internal and external customers on paperwork requirements, NIGO issues and setting up customer accounts.
• Identify cases that are not in good order (NIGO) and alert the field force for resolution.
• Process client data into back-office systems with a high level of accuracy using a first time right approach.
• Research and resolve operational issues, identifying and solving problems using Root Cause Problem Solving tools.
• Meet or exceed productivity and quality standards.
• Adhere to process and organizational policies and procedures.
• Escalate issues on a priority basis.
• Work overtime or flexible shifts as per business requirements.

What you'll need

• 1-3 years of knowledge of the financial services industry or experience in similar process support.
• Effective communication and documentation skills.
• Knowledge of MS Excel, MS Word and MS PowerPoint.
• Ability to challenge existing processes and propose process improvement ideas.
• Adaptability to work in a fast-paced environment, adhere to strict deadlines, and good logical and reasoning abilities.
• Ability 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, and billing of managed accounts.
• Working knowledge of the securities industry as it relates to back-office processing for standard non-retirement accounts.

Nice to have

• Knowledge of MS Excel macros.
• Knowledge and understanding of FINRA/SEC rules and regulations.
• Bachelor's degree in commerce or finance, with preference to post-graduation, or equivalent business experience.

Details

• Location: Hyderabad, India.
• Requires flexibility to work in shifts (regular, afternoon and night shift in India) on a permanent or rotational basis.
• Subject to supervision requirements including Non-Registered Fingerprinting (NRF) and personal trading account oversight.