Senior Analyst, Regulatory Advisory Compliance
Core
Advises the Individual Investors business unit on maintaining and enhancing compliance programs, leading process improvement projects, and providing regulatory support for North America.
Role type
Senior IC regulatory compliance analyst
Builds
Compliance processes, risk assessments, and regulatory filings for brokerage customers and accounts
Domain
Asset management / Financial services / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory requirements knowledge, compliance program management, risk assessment, project coordination, business unit partnership, industry compliance research
Preferred skills
FINRA/MSRB/SEC rules knowledge, risk identification, control enhancement, broker-dealer platform experience, strategic transformation support, Fully Disclosed Clearing Agreements experience, Power BI, SharePoint
Technologies
Microsoft Excel, Microsoft Word, Microsoft Power BI, SharePoint
Responsibilities
Advise senior managers on business unit compliance; support policy and procedure enhancements; provide timely compliance guidance and issue resolution; lead straightforward firmwide or business unit projects; recognize industry compliance issues and assess impact on business units
Seniority
Senior, hands-on IC