EI
RIA Operations Analyst
eTeam Inc.
- 🇨🇦 Canada | 🇺🇸 United States
- On-site
- 5 days ago
- Risk Management
- Excel
- Pivot Tables
- VLOOKUP
- Alteryx
- Tableau
- Python
- SQL
- RPA
5 days ago
Location: Salt Lake City, UT 84111
Duration: 6 Months
Note: Looking for someone with a strong financial background.
Role Overview: GBM RIA Operations Analyst
These positions support the Global Banking & 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 & Competencies
Domain & 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 & 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 & 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 & 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.
RIA Operations Analyst · eTeam Inc.