Cash and Controls Associate

As an Associate in our Prime Brokerage team, you will have the opportunity to develop your skills while contributing to a collaborative group that values growth and learning, and you will join us and be part of a company that supports your professional journey and offers exciting challenges. This is an excellent opportunity for a motivated professional seeking to make a difference in a supportive and dynamic environment.

You’ll work alongside individuals with diverse skills and backgrounds, united to achieve common goals through excellence and creativity. The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date.

• Process payments and review incoming cash wires for institutional and retail clients
• Apply and monitor payment controls, ensuring adherence to standards
• Investigate and resolve cash and control breaks
• Liaise with global partners and stakeholders to resolve reconciliation issues
• Perform and help design key controls across the trade lifecycle process
• Analyze and identify opportunities to increase STP (Straight Through Processing)
• Support the development and revision of company and department policies and procedures
• Ensure timely completion of work items
• Prepare and analyze metrics

• Experience using automation technologies to optimize systems and processes
• Knowledge of market products, operating procedures, and relevant industry regulations
• Proactive approach to problem solving and ownership of issues
• Strong time management and ability to deliver under pressure
• FINRA licensing: SIE + Series 99 (or willingness to obtain)
• Data analysis skills and ability to communicate insights effectively
• Ability to create and deliver presentations to management and stakeholders

• Experience in financial services, especially Corporate Banking
• Payments understanding and background
• Experience with in Prime Brokerage, Securities Settlements, or Asset Servicing
• Reconciliation experience
• Analytical skills