Client Service Specialist - Baltimore, MD

Operation Support

Location: Baltimore, MD

Duration: 6 months

Hybrid: 3 days per week in-office

Incoming/Outgoing Audit Confirmations Team within Operations Risk and Regulatory Control (ORRC)

The Incoming team is responsible for independently verifying positions and balances of trade activity for third party auditors on behalf of our mutual clients. The team receives more than 60,000 audit requests per year. The peak season is from January to March, concurrent with U.S. tax season. Approximately 60% of the audit confirmation volume requests are submitted during peak season. During this time, clients and auditors send confirmation requests to *** to confirm activity for end of year (EOY). In addition to the peak season workload, the team experiences heavy request volumes and inquiries during financial quarter end dates (March, June, and September).

Job Responsibilities

• Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for SEC rule 17A-13.
• Develop and maintain effective partnerships with all stakeholders on issues related to audit confirms.
• Manage, escalate, track and ensure resolution on issues that pose operational regulatory or reputational risk to the firm.
• Identify and contribute to operational risk projects related to strategic business initiatives.
• Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate.
• Proactively manage all communication from external and internal clients to ensure a timely and adequate response.
• Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients.
• Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters.
• Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes).
• Become efficient in the use of internal firm systems as quickly as possible.
• Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives.

Requirements

• Excellent communication skills with a level of comfort/experience talking to both internal senior stakeholders and external stakeholders.
• Experience in high pressure situations where tight deadlines need to be met.
• Experience dealing with high volumes of incoming mail.
• Being able to be trained remotely and a desire to learn.
• Experience with 17A13 and audit confirmations is of course preferable but not a requirement.