Sr Analyst, Regulatory Program Management
About The Position
The Senior Analyst, Regulatory Program Management evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this role ensures adherence to regulatory standards and proper oversight of broker-dealer activities. The role contributes to establishing operating routines and procedures that enable sound supervisory practices. The position requires at least 3 years of financial services experience. Series 7 and Series 24 registrations must be completed within 120 days of the start date. A university degree is preferred. The posting lists 5+ years of work experience as required and 7+ years as preferred; its preferred qualifications also include 7+ years of financial services experience.
Requirements
- At least 3 years of financial services experience.
- Complete Series 7 and Series 24 within 120 days of the start date.
- Work experience listed as 5+ years required.
- Related skills: business acumen, business process improvement, business process understanding, communication, compliance, continuous improvement mindset, attention to detail, general risk management, influence, relationship management, risk mitigation, and risk monitoring.
- Physical requirement: sedentary work.
Nice To Haves
- University degree preferred.
- 7+ years of work experience preferred.
- 7+ years of financial services experience preferred.
- Tenured experience researching and resolving issues.
- Prior experience testing and monitoring procedures.
- Proactive and willing to learn.
- Flexible and a team player.
Responsibilities
- Contribute to creating and maintaining processes that ensure adherence to regulatory requirements.
- Design and execute testing of regulatory processes and controls.
- Present findings and applicable recommendations to management and/or appropriate business partners.
- Oversee cross-functional implementation of broker-dealer programs, including analysis of regulatory risks in operational areas.
- Review documentation of business processes, risks, and controls through business-as-usual engagement and ongoing partnerships.
- Evaluate existing organizational policies and procedures to identify gaps and opportunities.
- Communicate new or revised policies, procedures, processes, and related documents to appropriate team members and/or business units.
Benefits
- Superior retirement program.
- Competitive health, wellness, and work-life offerings.
- Compensation may include participation in an incentive program linked to performance, depending on the role.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
