Job Title: AWM – Operations - PWM Ops Control and Risk Mgmt – Analyst
Location: 111 South Main Street, Salt Lake City, UT
Contract Duration: 9 Months
 
PWM Operations – Asset Transfers Team Role
PWM Operations is seeking an individual to join the Asset Transfers Team. The team performs regulatory and risk related oversight and monitors high risk asset transfers for PWM client accounts.
Team members will be required to work with PWM reps and other Operational teams to address exceptions related to internal policy and FCA and FINRA regulation, address funding or liquidity issues for asset transfers, and participate in the Change Management process for system enhancements.
The team manages multiple intra-day cutoffs ensuring asset transfer requests are approved prior to applicable market deadlines. We are looking for highly motivated and analytical individuals, who are team players. Individuals need to multi-task well and possess good problem-solving skills.
 
Job Duties:

• Analyst will participate in the asset transfer process, initiated by Advisor Teams.
• Facilitate account transfer delivery through a completing series of steps to notify internal teams by receiving proper approvals.
• Project work that requires data analysis to identify opportunities to streamline workflows and reduce manual touchpoints.
• Review account documentation, verify client signatures, and review legal documentation.
• Perform regulatory and risk related exception processing.
• Maintain integrity of customer accounts.
• Enforce regulations and GS policy.

 
Qualifications:

• Understanding of the securities industry preferred.
• Strong interpersonal skills and willingness to communicate with senior management.
• Ability to maintain a strong control focus and attention to detail while managing high volume,
• MS Office (Excel/Word/PowerPoint) proficiency.
• Ability to work effectively in a team environment; able to work independently and as a self-starter, as appropriate.
• Undergraduate degree.

 
Characteristics:

• Strong analytical skills.
• Attention to detail.
• Strong communications and interpersonal skills.
• Strong team player skills.
• Ability to work on multiple tasks, prioritize and thrive in a fast-paced deadline driven environment.
• Self starter with strong sense of urgency and ability to make critical decisions under pressure.
• Ability to solve problems in a timely and appropriate manner.

 
 
At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $ 23.00/hr.