Sr Analyst – Regulatory Program Management

Sr Analyst – Regulatory Program Management

Requirements

• University (Degree) Preferred
• 5 Years Required
• 7 Years Preferred
• FINRA Series 7
• FINRA Series 24

Responsibilities

• Creates and maintains 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.
• Leads cross-functional implementation of broker dealer programs including analysis of risks in operational areas.
• Reviews documentation of business processes, risks and controls via BAU 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.

Preferred Qualifications

• 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