Client Reporting Operations Analyst

• Perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance
• Coordinate and execute ad hoc mailings, including Quick Turn Letters (QTLs), fiscal summaries, and 401(b) letters, in partnership with business owners and third-party vendors
• Monitor and reconcile prospectus activity, including suppression logic, unfulfilled obligations, and file transmissions to/from Broadridge
• Maintain documentation and records for all mailings in accordance with supervisory procedures and audit requirements
• Support process improvement initiatives and contribute to the development and maintenance of standard operating procedures (SOPs)
• Collaborate with internal stakeholders (e.g., Compliance, Legal, Technology) to ensure timely and accurate delivery of client communications
• Participate in internal audits and provide documentation and responses as needed
• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
• Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives
• exercise independent judgment related to low-to-medium risk deliverables
• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Develop expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
• Support overall effectiveness of the team according to plans
• monitor daily securities and cash related production work
• Contribute and may lead implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk

• 2+ years of experience in financial operations, preferably within a broker-dealer or wealth management environment
• 2+ years of experience in client reporting operations or related functions (e.g., statement processing, regulatory mailings)
• Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment
• Proficiency in Microsoft Excel, Word, and Outlook
• experience with workflow tools and document repositories
• Familiarity with regulatory requirements related to client communications (e.g., SEC, FINRA)
• Experience with Broadridge systems or similar third-party mailing platforms
• Exposure to audit processes and quality control frameworks
• Knowledge of Access Equals Delivery (AED) and suppression logic for prospectus mailings
• Bachelor’s degree in business, Finance, or related field
• Series 7 or other FINRA License holder

Series 7 or other FINRA License holder

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement