Job Details
Qualifications
- Analysis skills
- Bachelor's degree
- Banking
- Customer service
- Microsoft Excel
- Microsoft Powerpoint
Job Description
Overview:
The Associate is responsible for daily work that is primarily routine in nature and normally covers a specific sub-set of duties within a team. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail and excellent customer service. Additionally, the Associate is expected to cross train within the various other areas of their team to assist and help back-up those areas when needed.
Responsibilities:
Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following:
CAT
TRACE
MSRB
OATS
Blue Sheets
Identify, notify and take action on the firm’s Reg SHO items
Process various non-trade related reporting requirements including, but not limited to, the following:
LOPR
Margin Reporting
Maintain an understanding of team expectations and company policies
Shared responsibility for team phone and e-mail coverage
Keep management informed on any unusual requests and potential issues
Maintain prompt and regular attendance
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary
Tag and upload newly received client documentation to ensure they are accurately archived in client KYC/Onboarding file
Track outstanding cases and report to KYC Refresh Management team on daily/weekly basis to monitor production statistics
Liaise with front office and sales staff to coordinate additional outreach for updated client KYC documents and information as necessary
Identify updated customer information and complete required reviews to evidence completion of KYC review
Perform general Know Your Customer tasks as assigned or required
Qualifications:
Bachelor’s degree in business, finance or related field or equivalent work experience
Some prior work experience in banking or securities related field preferred
Series 99, or equivalent (or ability to obtain within 6 months of employment)
Strong critical thinking and analytical skills with high attention to detail
Excellent organizational and time management skills with the ability to multi-task
Effective communication skills – oral and written, with an emphasis on customer service
Proficiency in Microsoft Office applications including, but not limited to Outlook, Excel, Word and PowerPoint
Ability to take direction, work independently and within a team environment
Adaptable to change in a highly regulated industry