FINRA Series 99 Operations Advisor

Job Summary

A company is looking for an Operations Advisor (F) to support operational processes and ensure compliance within its Investment Operations organization.

Key Responsibilities

• Support operational services and monitor performance and risk indicators
• Prepare performance statistics and reports for stakeholders and management
• Identify and resolve process issues while ensuring adherence to policies and regulatory standards

Required Qualifications

• Bachelor's degree or equivalent combination of education and experience
• 2+ years of relevant professional experience
• FINRA Series 99 license required within 120 days of hire
• Knowledge of compliance and risk mitigation strategies
• Experience in process improvements and operational functions