Associate Analyst, Stock Records
Core
Reconcile books and records per regulatory requirements, process share class conversions and private stock transfers, and manage daily mutual fund trade corrections.
Role type
Associate Analyst, Stock Records
Builds
Daily quality control reports, error rate analyses, and risk-based mitigation approaches for a clearing firm.
Domain
Financial Services / Wealth Management / Clearing Operations
Required skills
Regulatory compliance, trade reconciliation, error analysis, dynamic system management, billing calculation, cross-departmental communication, procedure documentation, risk mitigation, service request processing.
Preferred skills
Mutual funds experience, MS Excel (macros/VLOOKUPs), SQL, Alteryx, VBA, knowledge of SEC/FINRA regulations, project management.
Technologies
Dynamic systems, MS Excel, SQL, Alteryx, VBA
Responsibilities
Manage daily mutual fund trade corrections requests; Calculate billing for trade correction losses; Reconcile and analyze reports for daily quality control; Communicate with trading, compliance, legal, and external brokers to resolve issues; Research and process service requests; Develop risk-based mitigation approaches; Interpret rule modifications in the regulatory environment; Develop quality service standards; Handle escalations from Service Center and Advisors.
Seniority
Mid-level, hands-on IC
