Sr Analyst, Regulatory Program Management

- Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.

- Designs and executes the testing of regulatory processes and controls.

- Presents findings and applicable recommendations to management and/or appropriate business partners.

- Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.

- Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.

- Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.

- Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units. Educational Requirements

- 5+ years of financial services experience - Series 7 and 24 completed within 120 days of start date

- 7+ years of financial services experience - Tenured experience researching and resolving issues - Prior experience testing and monitoring procedures - Proactive and willing to learn - Flexible, a team player

Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring