Title: GBM RIA Operations Analyst
Location: Salt Lake City, UT
Duration: 2 Months Approx
Hours: M-F: 7am to 5pm
Overview:
These positions support the Global Banking and Markets (GBM) Registered Investment Advisor (RIA) Operations team. This team partners with the business and federation to facilitate business growth with a strict focus on risk mitigation and control frameworks surrounding RIA-initiated investment products.
Key Candidate Requirements and Competencies
Domain and Financial Product Knowledge
Strong understanding of the end-to-end trade lifecycle (execution, clearing, settlement, and custody).
Familiarity with financial products utilized by RIAs (Equities, Fixed Income, Mutual Funds, and Retirement/IRA products).
Awareness of the custodian-advisory model and brokerage operations.
Operational Risk Management and Control Frameworks
Ability to identify, assess, and mitigate exposure risks.
Experience managing trade breaks, settlement exceptions, and maintaining robust control environments to prevent operational breaks.
Process Improvement and Technological Scalability
Proficiency with advanced data manipulation in Excel (Pivot Tables, VLOOKUPs).
Exposure to or proficiency in automation and business intelligence tools such as Alteryx, Tableau, Python, SQL, or RPA is highly preferred to help drive workflow scalability.
Professional and Interpersonal Competencies
High attention to detail; precision in managing custody and settlement tasks.
Strong collaboration skills to interface with "the business" (front office) and "the federation" (middle/back office, compliance, legal, technology).
Exceptional multi-tasking abilities in a fast-paced environment.
SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.
