Sr Analyst, Regulatory Program Management

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 v...