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Trade Correction Analyst

Company: Edward Jones
Location: Jefferson City
Posted on: June 12, 2022

Job Description:

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.

In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.In the Client Services and Operations division at Edward Jones, youll focus on creating the ideal client and branch experience. From account opening, to trade settlement and movement of client cash and securities, to statement production and tax reporting, Operations is involved every step of the way. As the backbone of the branch, your work will support all client transactions and processing through the life cycle of the client relationship. Through strategic thinking and cross-functional collaboration, youll continuously identify opportunities for operational efficiency and risk mitigation, supporting the firm in its key objectives.

This position has a broad scope of responsibility for accomplishing core/critical technical or significant operational functions around Trade Corrections including interpreting complex information and making subjective decisions that have substantial risk or that may have legal, regulatory or financial implications. Decisions must ensure collaboration with a variety of business areas across the organization. The position is required to have a deep understanding of rules & regulations and the impact they have on the business area functions, systems and controls; along with identifying inherent and potential risks including implementation of recommendations to mitigate them.
Lead and/or serve as a subject matter expert on large scale firm or business area initiatives that may pose significant regulatory, reputational, system or financial risk. This could involve initiatives around all product types such as: Mutual Funds, Equities, Fixed Income, UITs, and Fee based accounts as it pertains to trade correction activity. Direct or manage one or more systems to assist product teams in delivering new technology or system upgrades through gathering requirements, developing & executing system tests, and supporting all aspects of implementation. In addition, ensuring timely escalation of issues that would create significant risk to the project or initiative deliverables or present risk to the firm or client is critical to the role.
Responsibilities include providing detailed analysis of information along with alternative solutions and present recommendations to business area leaders for process or system improvements. Implementation of the agreed upon solutions is also required. The ability to understand and interpret complex and diverse information from multiple data sources is paramount.

Training, coaching and mentoring of team members and may be expected to provide leadership on special projects impacting one or more business areas, as needed.
Analyze research and interpret, complex information utilizing a high degree of industry and regulatory knowledge related to multiple business areas across the organization.
Subject matter expert on key business area functions or systems, including a deep understanding of both how and why the work is performed.
Serve as workflow coordinator and point of escalation across multiple areas when business needs arise.
Frequent communication with home office leaders, large groups of associates, and/or vendors to resolve issues, answer escalated questions and carry out responsibilities including implementing effective change management.
Quality and accuracy reviews on selected functions within or across the business area.
Analyze branch suggestions, survey comments and other feedback to identify trends and opportunities to enhance productivity and communicate results with leaders.

  • Series 24 License
  • Series 53 License
    • Would consider applicants who have Series 51 License
      • Series 7 & 66 are pre-reqs to obtaining 24 or 53
      • 5+ years of experience in the financial services industry or related field is required (or) 5+ years of relevant system knowledge and experience is required. Strong understanding of business and specific regulations is required within 6 months.
      • Background in project management, change management, risk management, business specific technical support, lean six sigma or business analysis is strongly preferred.
        • An advanced knowledge of procedures and systems associated with multiple functions in a department or group of departments. Examples of the specific knowledge would be in the areas of: trading, books and records, corporate actions, cash and banking related functions, anti-money laundering, client accounts, mutual funds, insurance, stocks, bonds, managed money products, retirement products and services, client reporting, tax, customer account transfers, securities processing, etc.
        • Ability to make recommendations to resolve and improve system issues in complex or high impact issues is required.
        • Communicate complex details effectively; ensuring understanding and influencing senior leaders, branches, internal stakeholders, vendors and other external parties to support department goals and collaborate to get results.
        • Must have strong time management and organizational skills with the ability to multi-task, independently learn new processes, prioritize and delegate a heavy workload in order to be able to fulfill all the roles within the area.
        • Understand the firm's supervisory controls and procedures and utilize software such as Microsoft Word, Excel, and database tools, query tools such as Hyperion and Web Focus to identify trends, correlations and assist Compliance with regulatory investigations.
          • 2021 FORTUNE 100 Best Companies to Work For By Great Place to Work and FORTUNE Magazine Edward Jones was named No. 20 on the list.
            • From FORTUNE 2021 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.2021 Corporate Equality Index Edward Jones joins the ranks of 767 major U.S. businesses that received top marks in the Foundations 19th annual scorecard on LGBTQ workplace equality.
              From The Human Rights Campaign. All Rights Reserved2021 Training Top 100 list - Edward Jones ranked No. 19, up six spots from last year in its 21st consecutive year on this prestigious list.J.D. Power, 2021 Edward Jones has ranked 'highest in Employee Advisor Satisfaction among Financial Investment Firms' in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.
              Edward Jones received the highest score among employee advisors in the J.D. Power 2007,2008, 2010, 2012-2015, 2017-2021 Financial Advisor Satisfaction Studies of employee advisors satisfaction among those who are employed by an investment services firm. Visit jdpower.com/awards for more information.Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
              Salary: $56259 - $92771
              Category: Headquartersby Jobble

Keywords: Edward Jones, Jefferson City , Trade Correction Analyst, Accounting, Auditing , Jefferson City, Missouri

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