Brokerage Specialist - Analyst

Requisition Number: 81463

Position Title:

External Description:

Role Summary

Responsible for ensuring risk and compliance standards are developed and followed in contact center. Participates in initiatives, projects, and oversight activities to enhance the quality and efficiency of the contact center. Uses comprehensive knowledge of contact center operations to recommend process changes and improvements to managers.

Responsibilities

• Oversees and manages contact center oversight activities for vendors and clients. Provides analytical oversight for business product lines. 

• Reviews and ensures compliance with annual procedure audits. Applies understanding of internal controls to help identify and mitigate risk. Gathers data to inform operational results and areas of key risk and business oversight.

• Communicates with clients or internal staff to process adjustments for client trading and reporting while maintaining compliance standards. Provides oversight for overall trading activity for department. 

• Identifies, coordinates, develops, and deploys moderately complex Learning and Development programs that support more junior contact center team members in the process of obtaining licensing. Provides opportunities for knowledge sharing and skill development. Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND

• 2+ years of total relevant work experience

• SIE, Series 7, Series 63, Series 24, and on an as-needed basis, will support Series 4 and/or Series 52 and Series 53 licenses.

Preferred:

• Develops communication strategies, fosters relationships, and promotes the department’s image.

• Assessing individual risks for acceptability and handling them within authority.

• 2 – 3 years Financial Services experience preferred.

• Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables.

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

City:

State:

Community / Marketing Title: Brokerage Specialist - Analyst

Company Profile:

Location_formattedLocationLong: Colorado, US

CountryEEOText_Description: Commitment to Diversity, Equity, and Inclusion: We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day. Benefits: We invest in our people through a wide range of programs and benefits, including: • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, vision) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering. T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, color, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.