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Control Room Analyst

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #361
Monday, February 3, 2020
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Control Room Analyst plays a key role in the Firm’s Legal and Compliance Department, and is responsible for the detection and escalation of policy violations, risk anomalies and suspicious activity. This individual works with sensitive data in a small team environment under the direction of the Surveillance Manager and in collaboration with other compliance officers from the various business lines. The Analyst analyzes data, controls processes, and keeps required regulatory records.

 

Responsibilities Include:

 

  • Daily pre-approval of employee securities trading
  • Daily screening for trading in Restricted List and Watch List securities
  • Ongoing review and recording keeping of outside investment accounts; outside business activities; political contributions; and gifts/entertainment
  • Daily review for, and resolution of, trading violations
  • Monitoring commission mark-ups
  • Compliance testing of operational policies and procedures
  • Additional duties as assigned related to monitoring and testing for risks related to conflicts or the appearance of potential conflicts involving the Firm and its employees

 

 

Required Experience:

 

  • Bachelor’s degree in business, finance, or related field preferred
  • 1-3 years’ experience within financial services industry preferred
  • FINRA Series 7 Securities License preferred; or the ability to obtain with the first 12 months of employment
  • Prior experience with Proserv, eQube, and Ziplip a plus

 

Required Skills:

  • Proficiency in MS Excel
  • Excellent organizational, analytical and problem-solving skills
  • Outstanding written and verbal communication skills
  • Self-starter with the ability to multi-task and prioritize workload and projects

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America