New 
Controllers - Operations - Client Assets - Analyst
 Spectraforce Technologies | |
 United States, Utah, Salt Lake City | |
 Mar 22, 2025 | |
| The Customer Protection Team is responsible for ensuring the Firm's compliance with SEC Rule 15c3-3. SEC Rule 15c3-3 was established for registered broker-dealers to ensure that customer assets would be available to satisfy the claims of customers in the event of a default by their brokerage firm. As an analyst/associate within the US Client Assets Team, the individual will be responsible for a full range of daily processes, regulatory reporting, assisting with the uplift of our strategic architecture, as well as commercial initiatives related to client facing businesses across the firm. The role involves partnering closely with other Operations teams, Controllers, Prime Services and CWM businesses, Compliance, and Legal to ensure compliance with customer protection rules. HOW YOU WILL FULFILL YOUR POTENTIAL: - Build and maintain a deep technical understanding of the firm's books and records and inventory management flows- Join a strong team of subject matter experts- Partner with the GMD and CWM businesses to help facilitate new commercial opportunities- Participate and drive various business intelligence initiatives within the team aimed at promoting and improving efficiencies and control- Opportunity to interact with the SEC, FINRA and Auditors at the forefront of the regulatory environment- Review, implement and revise existing processes and control to provide first-in-class protection to our clients, Education: Bachelor's degree. | |