Regulatory Operations Consultant

The Opportunity

As a Regulatory Operations Consultant you will be responsible for mitigating risk for the firm by evaluating exception reporting to ensure adherence to the firm’s supervisory controls as well as state, FINRA, and SEC rules and regulations. Once review is complete, ensure evaluation is reflected in comprehensive documentation for each case. This is an excellent opportunity to collaborate with several different areas within the firm, as well as with our partners in the field.

You will be part of a team that encourages your growth, supports your ambitions and makes it a priority to reach your goals.

The Supervisory Control Procedures Team is a multi-tiered business unit that assists the Broker-Dealer in mitigating risk for the firm and its partners. This is accomplished by accurate, timely completion of the majority of the firm’s Supervisory Control Procedures. Members of the team demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations.

We highly value strong communication skills, a passion for learning, leadership traits, resilience, and self‑awareness.

We are looking for an individual who is self‑motivated, accountable, and focused on development. You will leverage resources available, identify opportunities for operational efficiency and to mitigate financial, reputational, and regulatory risk, and update processes with management approval. You will also demonstrate the flexibility to work both independently and collaboratively within a diverse team environment.

Key responsibilities include:

• Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls
• Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies
• Enhancement of back‑office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures
• Respond to complex questions from internal and external customers regarding program guidelines and administrative procedures
• Coordinate and deliver training as needed
• Confront difficult issues and conflict in a professional, assertive, and proactive manner
• Attend to detail while maintaining a big picture perspective
• Other duties as assigned, including other supervisory and/or operations functions

• High School Diploma or GED
• Series 7 at time of application or must obtain within 6 months
• Series 24 at time of application or must obtain within 6 months
• 3+ years experience in the financial services industry
• 1+ year of experience with brokerage products, program policies and provisions, and state and federal law
• 1+ year of experience with Microsoft Office (Excel, Word, PowerPoint)
• If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non‑registered fingerprint background check to qualify as a fingerprinted person under FINRA

• Bachelor’s Degree
• Series 7 and 24 at time of application
• Compliance or supervision experience with a FINRA registered Broker‑Dealer and/or SEC Registered Investment Advisor
• Critical Thinking: thoughtful process of analyzing data and problem‑solving data to reach a well‑reasoned solution
• Ability to partner effectively to drive our culture and execute on our common goals
• Appreciation and understanding of the financial services industry in order to make sound business decisions
• Able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision
• Ability to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk and to update processes with management approval
• Self‑motivated and has personal…