SIE and Series 99 Regulatory Analyst

Job Summary

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

Key Responsibilities

• Monitor daily securities possession or control requirements for compliance with regulations
• Compile and review regulatory reporting information for compliance with industry regulations
• Assist in the interpretation of new/changing rules 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
• SIE and Series 99 certifications required
• Knowledge of brokerage operations and financial industry regulations
• Experience with quality control reviews and operational testing strategies