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Custody Associate - Req. 1901505


Job Summary:


Under general supervision, uses skills gained through training and experience to perform a variety of operational procedures including stock deposits, interpretation of legal documentation, depository reconciliation and trade reconciliation. Serves as the agent between branches and the home office.


Essential Duties and Responsibilities:


• Secures physical stock properly per regulatory guidelines.

• Completes due diligence reviews on all incoming securities to mitigate risk.

• Requests various legal documents from branch personnel.

• Answers questions regarding various Custody processes.

• Researches and provides resolution on complex business issues.

• Serves as a back-up in cross-functional responsibilities during absences.

• Maintains a variety of confidential data files and records.

• Prepares client correspondence, instructional letters and various documents.

• Monitors incoming electronic correspondence, mail and documents.

• Reconciles client accounts to reflect transactions.

• Assists management in identifying procedures and policies that are outdated or ineffective.

• Performs box count on a bi-weekly and quarterly basis to ensure proper possession or control of physical stock.

• Assists in special projects.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Microsoft Word, Access, Excel and Outlook to create/update documents, reports, spreadsheets and emails.

• Principles, practices, and procedures of general office concepts and those that govern finance and/or securities industry operations.

• Regulations for specific assigned functional area.

Skill in:

• Analyzing data to identify discrepancies and trends.

• Problem solving.

• Organizational and time management skills to prioritize workflow and ensure duties and projects are completed by deadlines

Ability to:

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with internal associates and external contacts at all levels.

• Effectively gather all relevant information in order to analyze, research, and resolve business issues in order to make decisions.

Educational/Previous Experience Requirements:

• High School Diploma or equivalent and a minimum of two (2) years’ experience in the areas of financial services industry or customer service.


• Any equivalent combination of experience, education, and/or training approved by Human Resources.


• None.