Job Title: Operations & Compliance Associate
Location: Rochester Office
Reports to: Chief Administrative Officer
FLSA Status: non-exempt
To apply, please send resumes to careers@brightonsecurities.com
Summary
Project a professional firm image through in-person and phone interaction. Solve problems proactively with an emphasis on accuracy, efficiency, and client service.
Essential Duties & Responsibilities
- Provides CAO/CCO support on a variety of project-related tasks
- Maintains relevant knowledge of required forms and supporting documents, firm best practices, and general compliance regulations
- Process requests on trading and services platform and with outside entities, including follow-up
- Anticipate and respond to problems proactively, efficiently, and flexibly
- Set up and coordinate meetings and conferences
- Liaise with co-workers at Brighton Securities, Account Service Associates at First Clearing, mutual fund wholesalers and outside vendors in person, on the phone and in writing
- Proactively initiate, develop, and implement procedures and procedural improvements with an eye to efficiency, technology and client service
- Proactively identify opportunities for operational and improvement
- Proactively seek opportunities to broaden and deepen knowledge base and proficiencies
- Provides basic support and collaboration in completing analysis, providing ad-hoc reports, information or process mapping, and/or alignment of the business and related resources
- Provides timely and appropriate communications on work status
- Support the organization through detailed analysis and/or data interrogation
- Maintain a pleasant and helpful demeanor with clients and co-workers
- Performs other related duties as assigned
Qualifications
- Skills - Ability to create advanced interactive and variable financial models with measurement tools. Intermediate Microsoft Office skills (Excel, Word, Power Point). Ability to query raw data using multiple tools. Strong interpersonal, written and presentation skills. Ability to multi-task and prioritize workload. Self-starter, needing little motivation or direct supervision.
- Education - Associate’s degree required, Bachelor’s degree in related field preferred.
- Experience: Two (2) years of financial industry experience is preferred but not required.
- A combination of education and experience will be considered.