Broker Dealer Oversight Analyst

Job Summary

A company is looking for a Broker Dealer Outsourcing and Oversight Analyst.

Key Responsibilities

• Generate and analyze metrics to assess the performance and efficiency of outsourced broker-dealer operations
• Monitor and review outsourced service level agreements (SLAs) for compliance with regulatory requirements
• Conduct daily Customer Identification Program (CIP) and OFAC alert reviews to identify potential compliance issues

Required Qualifications

• 5+ years of experience in financial services, preferably with a broker-dealer background
• FINRA Series 6 or 7 & Series 24 licenses preferred
• Advanced knowledge of the financial services industry and regulatory requirements for broker-dealer operations
• Proven ability to apply statistical analysis to identify operational outliers and drive improvements
• Commitment to maintaining high ethical standards and regulatory compliance