New

Analyst, PWM Operations

Spectraforce Technologies

Jul 29, 2026
Job Title: Analyst, PWM Operations Job Category: Operations Department: Private Wealth Management (PWM) Operations - Client Data Change Management (CDCM) and Data Quality Work location: 111 South Main Street, Salt Lake City Contract duration: 6 months Division Overview Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation. For every trade agreed, every new product launched, every market entered, and every transaction completed, it is Operations that develops the processes and controls that make business flow. Team Overview The Private Wealth Management (PWM) Client Data Change Management (CDCM) team operates at the intersection of client service, risk mitigation, and regulatory compliance. CDCM is responsible for the integrity of client data throughout the post-onboarding account lifecycle. Operating in a highly regulated environment (governed by FINRA, SEC, and industry rules), the team performs critical due diligence, reviews account maintenance requests, and serves as the final approval authority for client data updates. CDCM partners closely with PWM Sales teams, Compliance, Legal, and broader Operations groups to deliver a premium, seamless client experience while protecting the firm from operational, financial, and reputational risk. Key Responsibilities Request Verification & Approval: Review and approve high-risk client account maintenance requests (e.g., name changes, address updates, third-party authorizations, and tax preferences) submitted by Sales teams. Quality Control & NIGO Prevention: Serve as the critical quality control checkpoint to identify and reject "Not In Good Order" (NIGO) submissions, ensuring all requests have proper client authorization and complete documentation. System Management: Utilize internal platforms to track, audit, and process account updates accurately and efficiently. Stakeholder Collaboration: Partner with PWM Sales teams to provide guidance on documentation requirements, resolve complex account maintenance issues, and clarify pending requests. Risk & Compliance Management: Ensure all account updates strictly adhere to regulatory standards (KYC, AML, SEC, and FINRA) and internal firm policies. Data Integrity: Monitor and maintain the accuracy of critical client data to prevent unauthorized trading, privacy breaches, and financial loss. Skills & Experience We Are Looking For Basic Qualifications: Bachelor's degree. Proficiency in MS Office (specifically Excel for managing large data sets) and comfort adapting to proprietary web-based applications. Exceptional attention to detail and organizational skills. Strong analytical, problem-solving, and decision-making capabilities. Ability to multi-task, prioritize effectively, and work under tight deadlines in a fast-paced environment. Excellent written and verbal communication skills, with the ability to manage stakeholder expectations professionally. Preferred Qualifications: A proactive, risk-focused, and problem-solving mindset with a strong desire to improve operational processes.