Sr. Analyst, Regulatory Program Management

The Senior Analyst, Regulatory Program Management job evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job contributes to establishing operating routines and procedures that enable sound supervisory practices.

Key Responsibilities and Duties

• Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.
• Designs and executes the testing of regulatory processes and controls.
• Presents findings and applicable recommendations to management and/or appropriate business partners.
• Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.
• Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
8IC