Broker Dealer Oversight Analyst

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