Regulatory Operations Analyst - with SIE and Series99

Hybrid in Saint Petersburg, FL, US • Posted 1 day ago • Updated 1 day ago
Contract W2
Hybrid
Depends on Experience
Fitment

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Job Details

Skills

  • Brokerage
  • Evaluation
  • Quality Control
  • SIE
  • Series99

Summary

Open to locations:

St Petersburg, FL / Memphis, TN / Southfield, MI

On W2 only and No C2C

Knowledge of:
Brokerage operations and how functions performed by Operations Control align with business partners
Financial industry rules, regulations and laws relating to processes performed by Operations Control
Regulatory terminology, concepts, and guidance
Brokerage industry and financial markets
Accounting principles/concepts
Concepts, practices and procedures for testing operational systems/processes
Skill in:
Conducting quality control reviews for functions performed within Operations
Creating procedure and business process workflow documentation
Evaluating processes/systems and identifying risks and controls; recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk
Executing training materials/programs
Executing test strategies, methodologies and analysis
Operating standard office equipment and using required Microsoft Office 365 software (Excel, Access, 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
Support efforts in the evaluation or implementation of a control or process
With minimal guidance, interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and security laws that apply to a process are correctly followed
Manage multiple tasks with changing priorities; meet deadlines in a fast-paced environment with constant interruptions; adapt to a constantly changing environment.
Demonstrate strong numerical aptitude and use critical thinking when solving operational problems
Provide a high level of customer service

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
  • Dice Id: RTX188088
  • Position Id: RS36748203
  • Posted 1 day ago
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