What are the responsibilities and job description for the Regulatory Operations Analyst (Hybrid in St Pete, FL/Southfield/MI/Memphis, TN) position at Noblesoft Solutions?
This is a Hybrid position in St. Petersburg, FL Memphis, TN or Southfield, MI.
Licenses/Certifications: SIE and Series 99 required
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