Regulatory Operations Analyst (Series 99 and SIE)

Job Description Job Title: Regulatory Operations Analyst \n Location: Remote. \n Duration: Long Term \n \n Job Summary: \n Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and pro…