Broker Dealer Outsourcing and Oversight Analyst

EQH • Charlotte, NC

7d • $75,000 - $85,000

About The Position

At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws. NOTE\: Equitable participates in the E-Verify program. If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at [phone] or email us at [email protected] . At Equitable, our power is in our people. We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential? We are seeking a highly skilled and detail-oriented Broker Dealer Outsourcing and Oversight Analyst to join our team. This role is critical in ensuring the effective oversight of outsourced broker-dealer operations, maintaining compliance with regulatory standards, and supporting senior leadership with actionable insights. The ideal candidate will have a strong background in financial services, particularly within broker-dealer operations, and possess advanced analytical capabilities. This position offers an exciting opportunity to contribute to the success and integrity of broker-dealer operations while playing a key role in ensuring compliance and operational excellence. If you are passionate about financial services and regulatory oversight, we encourage you to apply!

Requirements

• 5+ years of experience in financial services, preferably with a broker-dealer background.
• Advanced knowledge of the financial services industry, including comprehensive understanding of broker-dealer operations, insurance industry products and process as well as regulatory requirements for each.
• Knowledge of end-to-end business functions within operations, including data analysis, compliance, and quality control.
• Proven ability to apply statistical analysis and critical thinking to identify operational outliers and drive process improvements.
• Interpersonal skills and the ability to collaborate with internal teams and external vendors.
• Exceptional attention to detail and organizational skills.
• Commitment to maintaining high ethical standards and regulatory compliance
• Data Gathering and Reporting: Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company.
• Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.
• Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Nice To Haves

• FINRA Series 6 or 7 & Series 24 licenses

Responsibilities

• Generate and analyze metrics to assess the performance and efficiency of outsourced broker-dealer and Equitable Network operations.
• Monitor and review outsourced service level agreements (SLAs) to ensure compliance with agreed-upon standards and regulatory requirements.
• Conduct daily Customer Identification Program (CIP) and OFAC alert reviews to identify and address potential compliance issues.
• Identify and report Anti-Money Laundering (AML) flags, ensuring timely escalation and resolution.
• Review outsourced data entry for accuracy and quality control, implementing corrective measures where necessary.
• Provide recommendations to senior leadership based on analysis of operational performance and regulatory compliance findings.
• Support various supervisory procedures of the broker-dealer to ensure adherence to regulatory obligations and industry standards.
• Interface with Financial Professions and support staff as needed.
• Identify errors in operations and utilize analytical and statistical methods to detect trends, patterns, and outliers for resolution.

Benefits

• Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities.
• Eligibility for these programs depends on level and functional area of responsibility.
• For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees