Regulatory Operations Analyst

Our client a well known Financial Services Company is seeking a Regulatory Operations Analyst in their St Petersburg Location

Knowledge of:

• Brokerage operations and how Operations Control functions align with business partners
• Financial industry rules, regulations, and laws related to Operations Control processes
• Regulatory terminology, concepts, and guidance
• Brokerage industry practices and financial markets
• Accounting principles and concepts
• Concepts, practices, and procedures for testing operational systems and processes

Skills in:

• Conducting quality control reviews for operational functions
• Creating procedure documentation and business process workflows
• Evaluating processes and systems, identifying risks and controls, and recommending corrective actions
• Developing and executing training materials and programs
• Executing test strategies, methodologies, and analysis
• Using standard office equipment and Microsoft Office 365 applications (Excel, Access, PowerPoint), along with other relevant software tools

Ability to:

• Proactively engage, collaborate with, and influence business partners to adopt process or control enhancements
• Support the evaluation and implementation of operational controls and processes
• Interpret financial, brokerage, and securities rules and regulations with minimal guidance and ensure compliance
• Manage multiple tasks with shifting priorities while meeting deadlines in a fast-paced environment
• Apply strong numerical aptitude and critical thinking to solve operational problems
• Deliver a high level of customer service

Education & Experience Requirements:

• Bachelor’s Degree (B.A.) in a related field
• Minimum of two (2) years of experience in accounting, banking, and/or financial services

Licenses/Certifications:

• SIE required
• Series 99 required