Brokerage Operations Analyst
Insight Global, New York, NY, United States
Responsibilities
Work with internal teams to open and maintain accounts for clients of the firm, including gathering documents, verifying key information, validating completeness and effectively communicating with business partners/stakeholders. Facilitate the successful and smooth transition of securities and cash transfers including retrieving required documentation, working with internal and external partners, and effectively communicating with business partners/stakeholders. Provide specialized operational support to the structuring, booking, allocation, confirmation, settlement and reconciliation of primary and secondary securities, FX and Derivatives, including alternative investments. Process and monitor all daily transactions, including FINRA TRACE reporting, FX/Swap reporting, trade feeds to internal and external systems, unmatched trades, failed trades, wire transfers, deposits, securities and cash transfers, control reporting and supporting tasks that support the effective running of the business. Ensure the team communicates with external and internal business partners/clients in a professional and timely manner with regards to troubleshooting exceptions and transactions, settlement exceptions, inquiries and client account related issues. Foster a culture of partnership and collaboration with internal business partners/stakeholders including the Business teams, Product and Technology teams, and relevant support functions to identify customer needs, drive consistent communication and ensure service delivery at the highest possible level. Identify and implement opportunities to improve department processes and culture across the team/functions/regions to maximize service, efficiency and productivity, while maintaining a controlled and risk-reduced environment. Provide support for internal and external audits, risk assessments and reviews while ensuring department procedures, protocols, checklists and controls are adhered to. Be aware of current and emerging industry regulatory requirements and identify key risks and controls in support of our businesses operating efficiently. Adhere to documented SLAs and KPIs to ensure consistent workflow efficiency while managing client and business expectations. Provide support for technology and non-technology changes within the department, including idea generation, specification gathering, component and user testing, and regression testing to ensure effective and efficient delivery of change. About the company / Equal opportunity
We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements
Minimum of 2 years of operational support in financial services, preferably a broker-dealer, bank, or registered investment advisor. Experience with client account opening and AML/KYC rules. Experience with Cash, Securities, FX and Derivative products, processes and markets. Experience with regulatory reporting e.g. FINRA Trace. Knowledge and understanding of Cash, Securities, FX and Derivative products (Options and Swaps), related processes, and global financial markets. Knowledge and understanding of trade processing, regulatory reporting, trade booking, allocation, confirmation, settlement, custody and reconciliation of financial products/markets.
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Work with internal teams to open and maintain accounts for clients of the firm, including gathering documents, verifying key information, validating completeness and effectively communicating with business partners/stakeholders. Facilitate the successful and smooth transition of securities and cash transfers including retrieving required documentation, working with internal and external partners, and effectively communicating with business partners/stakeholders. Provide specialized operational support to the structuring, booking, allocation, confirmation, settlement and reconciliation of primary and secondary securities, FX and Derivatives, including alternative investments. Process and monitor all daily transactions, including FINRA TRACE reporting, FX/Swap reporting, trade feeds to internal and external systems, unmatched trades, failed trades, wire transfers, deposits, securities and cash transfers, control reporting and supporting tasks that support the effective running of the business. Ensure the team communicates with external and internal business partners/clients in a professional and timely manner with regards to troubleshooting exceptions and transactions, settlement exceptions, inquiries and client account related issues. Foster a culture of partnership and collaboration with internal business partners/stakeholders including the Business teams, Product and Technology teams, and relevant support functions to identify customer needs, drive consistent communication and ensure service delivery at the highest possible level. Identify and implement opportunities to improve department processes and culture across the team/functions/regions to maximize service, efficiency and productivity, while maintaining a controlled and risk-reduced environment. Provide support for internal and external audits, risk assessments and reviews while ensuring department procedures, protocols, checklists and controls are adhered to. Be aware of current and emerging industry regulatory requirements and identify key risks and controls in support of our businesses operating efficiently. Adhere to documented SLAs and KPIs to ensure consistent workflow efficiency while managing client and business expectations. Provide support for technology and non-technology changes within the department, including idea generation, specification gathering, component and user testing, and regression testing to ensure effective and efficient delivery of change. About the company / Equal opportunity
We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements
Minimum of 2 years of operational support in financial services, preferably a broker-dealer, bank, or registered investment advisor. Experience with client account opening and AML/KYC rules. Experience with Cash, Securities, FX and Derivative products, processes and markets. Experience with regulatory reporting e.g. FINRA Trace. Knowledge and understanding of Cash, Securities, FX and Derivative products (Options and Swaps), related processes, and global financial markets. Knowledge and understanding of trade processing, regulatory reporting, trade booking, allocation, confirmation, settlement, custody and reconciliation of financial products/markets.
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