Operations Quality Control Analyst

PRIMARY FUNCTION

Responsible for the quality control monitoring and reporting of HTK Operations Department processes to provide assurance that policies and procedures are adequately implemented. Provide support to assure the integrity of back office system data. Liaison with other functional areas to provide support to comply with FINRA rule 3012.

PRINCIPAL RESPONSIBILITIES

 · Monitor activities and conduct testing to identify quality related issues at a

  transactional level

  · Provide results of testing activities to business owners and senior management

  · Follow up with business owners on any testing items requiring

  responses and re-work

  · Provide support to business to identify cross-functional process breakdowns

  or opportunities for enhancement

· Back office system data maintenance and clean up initiatives

· Assist in establishing, updating and documenting processes and procedures in

   the Operations Control Manual

· Provide project level support as needed

COMPETENCIES

· Strong working knowledge and understanding of the rules and regulations related to the securities industry

· Strong organizational, communication, and computer skills

· High analytical and technological skills

· Highly resourceful with an ability to look beyond the obvious

· Excellent relationship and collaborative skills

· Detailed oriented

· Working knowledge of DTCC Networking and DST Vision a plus

MAJOR QUALIFICATIONS

· Minimum three years of Broker/Dealer experience

· FINRA Series 6 required within 6 months of hire date (Series 7 preferred)

· FINRA Series 24 or 26 a plus

· BA/BS or equivalent experience strongly preferred