SIE and Series 99 Licensed Analyst

Location: Remote

Compensation: To Be Discussed

Reviewed: Mon, May 04, 2026

This job expires in: 30 days

Job Category: Business Operations

Employment Status: Independent Contractor

Employer Type: Staffing Agency

Career Level: Entry Level, Experienced, Senior Level

Education Level: Bachelors

Job Summary

A company is looking for a Regulatory Operations Analyst.

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 accordingly

Required Qualifications

Bachelor's Degree in a related field
Minimum of two years of experience in accounting, banking, or financial services
SIE and Series 99 licenses required
Knowledge of financial industry rules and regulations
Familiarity with brokerage operations and accounting principles

COMPLETE JOB DESCRIPTION

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