BNY · 17 hours ago
Brokerage Operations Analyst (contract)
Lake Mary, FL
Contract
Onsite
Entry, Mid Level
$24.74/hr - $30.93/hr
1+ years expBNY is a leading global financial services company that influences nearly 20% of the world’s investible assets. The Brokerage Operations Analyst role supports the Retail Margin function, focusing on compliance across client brokerage accounts and risk identification in a highly regulated environment.
Financial Services
Responsibilities
Retail Margin Review & Compliance: Review client accounts daily to ensure compliance with FINRA Rule 4210, Regulation T, SEC rules, and internal BNY Pershing policies
Risk Identification & Escalation: Identify margin deficiencies, risks, and exposures that require escalation, ensuring timely resolution and adherence to regulatory requirements
Operational & Lending Support: Support margin-related lending operations, product development initiatives, system automation efforts, and exception-based processing
Client & Stakeholder Support: Deliver high-quality customer service by collaborating with internal operational teams and providing daily support to BNY clients
Account Monitoring & Resolution: Validate margin calls, review borrowing activity, manage account permissions, and ensure required communications are completed to close open items
Reporting & Exception Handling: Review and interpret daily reports, investigate exceptions, and resolve outstanding items within established timeframes
Training & Process Adherence: Participate in extensive onboarding and training (including restricted system access during initial ramp-up) and follow documented procedures in a highly regulated environment
Qualification
Required
1–3+ years of experience in brokerage or financial services operations
Basic understanding of brokerage concepts (equities vs. bonds, margin accounts, post-trade processing)
Strong communication and relationship-building skills
Proficiency with Microsoft Office tools
Preferred
Prior experience in Retail Margin or brokerage processing
Familiarity with Regulation T, FINRA Rule 4210, and margin-related terminology
Customer service experience within a financial services environment
Strong attention to detail and ability to connect information across systems
Ability to learn complex processes and work effectively in an exception-driven workflow
Bachelor's degree preferred
Benefits
Medical
Dental
Vision
Retirement benefits via Tundra Technical Solutions
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
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