Broker Dealer Oversight AnalystVirtualVocations • Van Nuys, California, United States
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Broker Dealer Oversight Analyst
VirtualVocations • Van Nuys, California, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Broker Dealer Outsourcing and Oversight Analyst.
Key Responsibilities
Generate and analyze metrics to assess the performance and efficiency of outsourced broker-dealer operations
Monitor and review outsourced service level agreements (SLAs) for compliance with regulatory requirements
Conduct daily Customer Identification Program (CIP) and OFAC alert reviews to identify potential compliance issues
Required Qualifications
5+ years of experience in financial services, preferably with a broker-dealer background
FINRA Series 6 or 7 & Series 24 licenses preferred
Advanced knowledge of the financial services industry and regulatory requirements for broker-dealer operations
Proven ability to apply statistical analysis to identify operational outliers and drive improvements
Commitment to maintaining high ethical standards and regulatory compliance
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