Janney Montgomery Scott LLC Benefits Overview

Oversee client activities and operational compliance across a branch complex. Review account forms, correspondence, transactions, blotters, and exception reports; coordinate audits and corrective actions with Compliance, Legal, Operations, and Home Office teams. Maintain knowledge of financial products, systems, policies, and regulations. Conduct staff training, support Financial Advisor screening and onboarding, and escalate issues to the Complex Manager.

Supports the trade lifecycle across equities, fixed income, options, and derivatives by reconciling reports, booking and allocating trades, resolving discrepancies and settlement failures, processing corrections, setting up accounts, and monitoring regulatory reporting. The role collaborates with trading desks, counterparties, compliance, settlements, and other operations teams while identifying process improvements and escalating risk issues.

The Control Room Analyst monitors employee securities trading and potential conflicts of interest, including restricted-list activity, outside accounts, political contributions, gifts, and entertainment. The role investigates and resolves trading violations, performs compliance testing, monitors commission markups, maintains regulatory records, and escalates suspicious activity and risk anomalies. It requires strong analytical, organizational, communication, and problem-solving skills, along with financial services experience and proficiency in Excel.