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AWM - Operations - PWM- Asset Transfer Operations - Control & Risk Management - Analyst

Spectraforce Technologies
United States, Utah, Salt Lake City
Aug 21, 2025
Job Title: AWM - Operations - PWM- Asset Transfer Operations - Control & Risk Management - Analyst Duration: 6 Months Work location: Salt Lake City, UT, 84111 Private Wealth Management - Asset Transfer Operations - Control & Risk Management Team Job Duties: Handle asset transfer requests from clients, including moving assets from client accounts into related accounts, either internal or external to the firm. Ensure accounts are sufficiently funded and comply with firm and industry regulations before asset transfers occur, applying margin funding analysis concepts where applicable. Review and analyze activity on accounts flagged through reconciliations and data quality scans to ensure accurate reporting, mitigate financial risks, and apply quantitative skills to analyze large data sets to identify exceptions and discrepancies, which clarifies whether an asset transfer request is in good order for approval. Lead the training plan for the team and onboarding of new junior colleagues, compiling depth charts reflecting knowledge across the team and the improvements needed, and updating KRIs and controls that enable risk mitigation. Focus on Risk Mitigation, Exceptions Processing and Client Service, and assisting with asset segregation across the firm, along with regulatory filings to ensure resolution by the required clients' deadlines. Coordinate with stakeholders and adjacent teams to ensure portfolio management, reporting, and client service needs are met in a timely and satisfactory manner. [10%] Support ongoing strategic project of updating team's asset transfer system to add new functionality and enhance risk mitigation controls. Minimum Education Requirements/Degree And Field & Minimum Years Experience Required: Bachelor's degree (U.S. or foreign equivalent) in Finance, Economics, Accounting, Business Administration, Management Information Systems, Data Analytics, related field and some experience in the job offered or in a related role (at least 2 years preferred). Special Skills And/or Licenses Required To Perform The Job: Prior employment must include two (2) years of experience with: Analyzing large data sets in Microsoft Excel to identify exceptions and discrepancies, including filtering, charting, and data validation. Ensuring compliance with internal policy concerns and mitigating negative client service and firm/client financial risk. Performing mathematical calculations as it pertains to financial products to ensure adequate funding of asset transfer requests and validate system accuracy in exceptional or nuanced cases. Reviewing and approving a high volume of asset transfer requests per day Managing multiple intra-day cutoffs and leveraging good judgement to appropriately prioritize competing requests. Defining assets' volatility and performing due diligence based on a quantitative financial perspective.