Associate Analyst, Stock Records

• Manage daily processing tasks as required
• Reconcile and analyze reports
• Perform daily quality control, manage error rates, review exceptions, and process daily reporting
• Reconcile suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures
• Communicate with trading, compliance, legal, and operations departments as well as external contra brokers to resolve issues
• Research and process service requests created by service teams
• Develop risk-based mitigation approaches that may yield changes to functions and departmental requirements
• Understand and interpret rule modifications in an evolving regulatory environment and understand business needs
• Develop quality service standards and processes to create a consistent service experience
• Handle escalations from the Service Center and advisors
• Write and edit team procedures and work with Risk Management on their upkeep
• Process, implement, and provide ongoing support for break reconciliation
• Process share class conversions, Exchange Funds, private transaction accommodations, and private stock transfers when applicable
• Perform other assignments as required by management

• 2+ years of industry experience (preferably corporate actions) in Operations
• 2+ years of mutual funds experience
• Ability to work independently in a fast paced environment with multiple priorities
• Ability to work with and communicate effectively to various levels throughout the organization
• Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
• Excellent verbal and written communication skills
• MS Excel experience (macros and vlookups)
• Project management and escalation leadership experience SQL, Alteryx, VBS experience preferred
• Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
• Bachelor Degree Preferred
• SIE preferred

Demonstrates expertise in managing daily processing tasks, reconciling reports, and ensuring compliance with regulatory policies. Proficient in developing quality service standards and effectively communicating across various departments within the financial services industry.

• Operations Management
• Mutual Funds Experience
• Regulatory Compliance Knowledge
• Project Management
• SQL Proficiency

• Report Reconciliation
• Quality Control
• Error Rate Management
• Transaction Validation
• Service Request Processing
• Break Reconciliation
• Share Class Conversions
• Excel (Macros, Vlookups)
• Alteryx
• VBS

• Effective Communication
• Independent Work
• Problem Solving
• Escalation Leadership
• Adaptability

• Bachelor Degree Preferred
• SIE Preferred

• Financial Services
• Corporate Actions
• Regulatory Environment
• Federal Regulators
• Self-Regulatory Organizations
• State Regulatory Departments