Job Description

YOUR IMPACT

RIA Custody Broker Operations is seeking a highly motivated individual with excellent teamwork, organizational, technical, communication and risk management skills. The ideal candidate should have a strong interest in financial markets and products and be able to operate effectively in a challenging and fast-paced environment. You will partner with the business and federation in order to facilitate business growth with a key focus on the risk and control around RIA initiated investment products.

OUR IMPACT

RIA Custody is a new and growing area of the firm that provides a powerful platform for registered investment advisors to perform diversified investing and portfolio management with significant customization. We are a dynamic, entrepreneurial team with a passion for building digital capabilities for our rapidly growing client base.

Our operations team provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.

THE JOB - WHAT YOU WILL DO

• Gain a comprehensive understanding of the trade lifecycle and process flows of RIA initiated investment products: equities, fixed income, mutual funds, retirement products, etc.
• Partner with a teams of brokerage, execution and servicing experts to deliver top notch client service while ensuring exposure risks are appropriately mitigated.
• Showcase your attention to detail and ability to manage several tasks at once.
• Identify processes and controls improvement by leveraging constant evolving tools that can be used to build scalability without introducing new risks.

BASIC QUALIFICATIONS

• Bachelor’s degree
• 5-7+ years of professional experience
• Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail.
• Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience.
• Self-motivated and proactive team player who takes ownership and accountability, has strong organizational skills as well as the ability to effectively manage competing priorities.
• Flexible and able to work well under pressure in a team environment.

PREFERRED QUALIFICATIONS

• Prior experience in banking, custody and clearing or similar environment.
• Familiarity with billing, portfolio management and/or clearing operations.
• Operational knowledge of the custody and clearing business model and supported products, process flows, vendors, etc.