Operations Analyst

Client Account Operations Analyst

Location: Salt Lake City, UT Pay: $23.00

Job Summary

We are seeking a detail-oriented Client Account Operations Analyst to review and process high-risk client account maintenance requests while ensuring regulatory compliance and data integrity. This role serves as a key quality control checkpoint, validating documentation, preventing Not In Good Order (NIGO) submissions, and partnering with Sales teams to resolve account maintenance issues.

Key Responsibilities

• Review and approve high-risk client account maintenance requests, including name changes, address updates, third-party authorizations, and tax elections.
• Perform quality control by identifying and rejecting incomplete or non-compliant (NIGO) requests.
• Process and track account updates using internal systems while maintaining accurate client records.
• Collaborate with Sales teams to resolve documentation issues and provide guidance on account maintenance requirements.
• Ensure compliance with KYC, AML, SEC, FINRA, and internal policies.
• Maintain data accuracy to mitigate operational, regulatory, and financial risk.

Required Qualifications

• Bachelor's degree.
• Proficiency in Microsoft Excel and MS Office.
• Strong analytical, organizational, and problem-solving skills.
• Excellent attention to detail and ability to manage multiple priorities in a fast-paced environment.
• Strong written and verbal communication skills.
• Experience working with web-based or proprietary systems.

Preferred Qualifications

• Experience in financial services, wealth management, or brokerage operations.
• Knowledge of client account maintenance processes and regulatory requirements.
• Proactive, risk-focused mindset with a commitment to operational excellence and continuous improvement.