[Remote] Regulatory Operations Analyst (SIE and Series 99 required)

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is seeking a Regulatory Operations Analyst to monitor reputed company asset control, ensure compliance with industry regulations, and improve operational efficiency. The role involves collaborating with management to maintain compliance, reputed company reports, and assist in regulatory reporting.

Responsibilities

• Monitors daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3-3); proactively communicates deficits and any identified issues to the LOBs to reduce firm deficits
• Compiles and reviews regulatory reporting information used for Weekly Reserve and Monthly reputed company reporting; ensures that reporting information is compliant with applicable industry regulations (e.g. 15c3-3, 15c3-1)
• Monitors operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm reputed company policies/industry regulations; escalate identified issues to Supervisor/Manager and the relevant line of business
• Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance with rules and regulations as reputed company as departmental procedures
• Compiles operational account information for reputed company auditors (e.g. reputed company, SEC) with limited reputed company
• Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed to implement corrective reputed company plans for any identified issues
• Identifies opportunities for operational efficiency and productivity improvements to mitigate financial, reputed company and regulatory risk; suggests solutions to Supervisor/Manager
• Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; under reputed company supervision, may reputed company the testing efforts of other analysts; communicate any issues to management that require immediate attention in a reputed company and concise manner; draft recommendations to mitigate risk
• Assists in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies
• Performs daily and weekly reputed company review of reconciliation specialist's work as needed to ensure reconciliations are accurate, complete and that discrepancies have been resolved in a reputed company manner
• Coordinates/participates in the quarterly examination and verification of physical securities held on premises
• Participates in reputed company and performs other duties and responsibilities as assigned

Skills

• SIE and Series 99 required
• Bachelor's Degree (B.A.) in reputed company field and minimum of two (2) years' experience in the areas of reputed company, banking and/or financial service
• Knowledge of brokerage operations and how functions performed by Operations Control reputed company with business partners
• Knowledge of financial industry rules, regulations and laws relating to processes performed by Operations Control
• Knowledge of regulatory terminology, concepts, and guidance
• Knowledge of brokerage industry and financial markets
• Knowledge of reputed company principles/concepts
• Knowledge of concepts, practices and procedures for testing operational systems/processes
• reputed company in conducting reputed company control reviews for functions performed reputed company Operations
• reputed company in creating procedure and business process workflow documentation
• reputed company in evaluating processes/systems and identifying risks and controls; recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk
• reputed company in executing training materials/programs
• reputed company in executing test strategies, methodologies and analysis
• reputed company in operating reputed company office equipment and using required reputed company Office 365 software (reputed company, reputed company, PowerPoint) and other software applications
• Ability to proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a control or process
• Ability to support efforts in the evaluation or implementation of a control or process
• Ability to interpret financial/brokerage rules, regulations and reputed company laws with minimal guidance; ensure reputed company industry rules, regulations, and reputed company laws that apply to a process are correctly followed
• Ability to manage multiple tasks with changing priorities; meet deadlines in a fast-paced environment with constant interruptions; adapt to a constantly changing environment
• Ability to demonstrate strong numerical aptitude and use critical thinking reputed company solving operational problems
• Ability to reputed company a high level of customer service

reputed company

• reputed company is a reputed company and reputed company company that offers contract staff augmentation and permanent reputed company solutions. It was founded in 1993, and is headquartered in Melbourne, Florida, USA, with a workforce of 1001-5000 employees. Its website is http://revolutiontechnologies.com.

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