Series 99 Regulatory Reporting Analyst

Job Summary

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

Key Responsibilities

• Monitor compliance with securities possession and control requirements and communicate issues to reduce firm deficits
• Compile and review regulatory reporting information for compliance with industry regulations
• Assist in the interpretation of new regulations and update departmental procedures accordingly

Required Qualifications

• Bachelor's Degree in a related field
• Minimum of two years' experience in accounting, banking, or financial services
• Licenses/Certifications: SIE and Series 99 required
• Knowledge of financial industry rules, regulations, and accounting principles
• Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment