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