The Senior Analyst, Regulatory Program Management job evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job contributes to establishing operating routines and procedures that enable sound supervisory practices.
Key Responsibilities and Duties- Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.
- Designs and executes the testing of regulatory processes and controls.
- Presents findings and applicable recommendations to management and/or appropriate business partners.
- Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
- Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.
- Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.
- Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
Educational Requirements- University (Degree) Preferred
Work Experience- 5+ Years Required; 7+ Years Preferred
FINRA Registrations- SRC Indicator: Series 7; Series 24
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 8IC
Required Qualifications- 5+ years of financial services experience
- Series 7 and 24 completed within 120 days of start date
Preferred Qualifications- 7+ years of financial services experience
- Tenured experience researching and resolving issues
- Prior experience testing and monitoring procedures
- Proactive and willing to learn
- Flexible, a team player
Related Skills
Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring
Anticipated Posting End Date:2026-07-17
Base Pay Range: $67,700/yr - $95,100/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
Benefits and Total RewardsThe organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.
