Overview: We are seeking an analyst to support our broker‑dealer client with SEC Rule 15c3‑3 (Customer Protection... under SEC Rule 15c3‑3. Validate possession/control of customer securities in accordance with regulatory requirements...
Growing Broker dealer is seeking a highly skilled Operations Regulatory Reporting Analyst to support regulatory... all U.S. Regulatory and exchange reporting obligations through accurate data, strong controls, and effective system support...
/ Broker Dealer regulation are highly desirable, preferably within the associated areas of operations, risk management... will provide more details. Position Summary: The Operational Risk Analyst supports the Business Unit Risk Management (BURM...
in connection with our broker-dealer compliance program. The Analyst will work closely with our attorneys and other legal... and responses to regulatory inquiries and audits Handling internal compliance reporting Monitoring employee personal trading...
position, and supporting regulatory and management liquidity reporting Oversees processes, risks, and controls, tracking... requirements (e.g., LCR, NSFR), and broker-dealer funding practices. * Analytical Skills: Ability to analyze complex financial...