Equitable
Broker Dealer Outsourcing and Oversight Analyst (HYBRID or REMOTE)
Equitable, Charlotte, North Carolina, United States, 28245
Employer Industry:
Financial Services
Why consider this job opportunity:
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
What to Expect (Job 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
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
What is Required (Qualifications):
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
How to Stand Out (Preferred Qualifications):
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
#FinancialServices #BrokerDealer #CareerOpportunity #CompetitivePay #RegulatoryCompliance
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately. We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
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Financial Services
Why consider this job opportunity:
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
What to Expect (Job 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
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
What is Required (Qualifications):
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
How to Stand Out (Preferred Qualifications):
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
#FinancialServices #BrokerDealer #CareerOpportunity #CompetitivePay #RegulatoryCompliance
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately. We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
#J-18808-Ljbffr