Job Description

• Data Entry and Management: Performance of client onboarding, account maintenance, brokerage certificate creation, primary issuance documentation, and processing documentary requirements for put and call option documentation.
• Quality Control: Review of QIB registration documents, Phone Trades and Day 2 review of transactional documentary requirements.
• Accuracy and Completeness: Ensuring supporting documents of various requests are accurate, up-to-date, and complete.
• Compliance: Adhering to regulatory requirements and internal standards.
• Service Level Agreements: Adhering to agreed turnaround times w/ clients and meeting Key Performance Indicators.
• Audit Support: Assisting with both internal and external audits related to supporting documentation requirements.
• Policy and Procedure Development: Contributing to the development of document management policies and procedures impacting unit's processes.
• Communication: Communicating effectively with various stakeholders to manage documentation.
• Collaboration: Working with other departments and stakeholders to ensure consistent documentation practices.
• Archiving and Storage: Organizing and archiving documents according to established procedures.

Qualifications

• Background in Investment or banking is preferred, but not required
• Detail oriented
• Can work in a fast-paced and time bound environment
• Above average communication skills (verbal and written)
• Organized
• Displays accountability/ownership
• Team player
• Has initiative
• Technical competencies:
• Above average practical knowledge of Microsoft Office applications including Excel, Word, and Powerpoint