Job Description
This Risk Analysis Associate position will require the ability to work with a diverse team responsible for performing and driving the firms Customer Identification Program (CIP) and performing credit-based risk reviews. This is a very fast paced, thorough, and deadline-driven position. As part of our analysis work, we also strive for continuous process improvement.
Use your analytical skills and prior securities industry experience to perform the following functions: Verifying our client's identity, SSN verifications, Credit review, risk-based investigative searches, Fraud Detection, ID Theft Prevention and working with 3rd party sources. - Correspond with the field and clients by answering hotline calls, responding to emails and sending letters.
- Work on problems where analysis of situations or data requires a review of a variety of factors from various information vendors.
1-3 years of experience in the securities industry.- Good analytical and problem solving skills.
- Strong written and oral communication skills.
- Exceptional customer service skills.
- Good organization skills and ability to prioritize and coordinate multiple processes.
- Ability to identify and recommends solutions to basic issues impacting Risk and/or Controls.
- A valid and active FINRA Series 7 and 63 licenses preferred. College degree or equivalent experience preferred.
You demonstrate these behaviors:
- Customer Orientation: Demonstrated concern for satisfying one’s external and/or internal customers
- Thoroughness: Ensuring that one’s own and other’s work and information are complete and accurate; careful preparation for meetings and presentations; following up with others to ensure that agreements and commitments have fulfilled
- Verbal Communication: Expressing oneself clearly in conversations and interactions with others
- Initiative: Identifying what needs to be done and doing it before being asked to or required by the situation
- Results Orientation: Focusing on the desired end result of one’s own or one’s unit’s work; setting challenging goals, focusing effort on the goals, and meeting or exceeding them
- Flexibility: Willingness to different and new ways of doing things; willingness to modify one’s
- preferred way of doing things
What you will get:
- Comprehensive Compensation and Benefits package
- Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
- Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
- Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
- Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
- Not just a job, but a career, with an opportunity to do the best work of your life
In addition to the salary range, this role is also eligible for bonus or incentive opportunities.