Broker Dealer Outsourcing and Oversight Analyst; HYBRID or REMOTE

Employer Industry: Financial Services

• Salary up to $85,000
• Performance-based compensation including base salary increases, spot bonuses, and short-term incentive opportunities
• Comprehensive benefits package including medical, dental, vision, 401(k) plan, and paid time off
• Opportunity for career advancement and internal mobility within a supportive work environment
• Engage in meaningful work that contributes to the integrity of broker-dealer operations and regulatory compliance

• 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
• Identify and report Anti-Money Laundering (AML) flags, ensuring timely escalation and resolution
• Provide recommendations to senior leadership based on analysis of operational performance and compliance findings

• Minimum of 5 years of experience in financial services, preferably with a broker-dealer background
• Strong analytical capabilities and attention to detail
• Commitment to maintaining high ethical standards and regulatory compliance
• Proven ability to apply statistical analysis and critical thinking to identify operational outliers
• Excellent interpersonal skills with the ability to collaborate effectively with internal teams and external vendors

• FINRA Series 6 or 7 & Series 24 licenses
• Advanced knowledge of the financial services industry, including broker-dealer operations and insurance products
• Knowledge of end-to-end business functions within operations, including data analysis and quality control
• Exceptional organizational skills and the ability to manage multiple priorities effectively
• Proven track record in driving process improvements within operational settings

#Financial Services #Broker Dealer #Career Opportunity #Competitive Pay #Regulatory Compliance

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