Series 99 Regulatory Operations Analyst

Job Summary

A company is looking for a Regulatory Operations Analyst (Series 99 required).

Key Responsibilities

• Monitor daily securities possession and control requirements to ensure compliance with regulations
• Compile and review regulatory reporting information for compliance with industry regulations
• Assist in the interpretation of new regulations and update processes for compliance

Required Qualifications

• Bachelor's Degree in a related field
• Minimum of two years' experience in accounting, banking, or financial services
• Licenses: SIE and Series 99 required
• Knowledge of financial industry rules and brokerage operations
• Ability to manage multiple tasks and adapt to changing priorities