Job Description
This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
**Licenses/Certifications:**
+ **SIE required** (prior to start), provided that an exemption or grandfathering cannot be applied.
+ **Series 99 required** (prior to start). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.
**Responsibilities**
• Act as a business par...
**Licenses/Certifications:**
+ **SIE required** (prior to start), provided that an exemption or grandfathering cannot be applied.
+ **Series 99 required** (prior to start). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.
**Responsibilities**
• Act as a business par...