Registered Regulatory Operations Analyst

Willenborg Wealth Management

Saint Petersburg, FL, US
Hybrid (2-3 days onsite at one of the corporate offices in saint petersburg, fl, memphis, tn, or southfield, mi)
Customer protection rule 15c3-3 compliance
Daily reserve and monthly focus reporting
Securities possession and control monitoring
Willenborg Wealth Management is seeking a Registered Regulatory Operations Analyst who will work in a hybrid model, primarily focusing on regulatory compliance, operational efficiency, and risk management. The role requires collaboration with management and internal partners to ensure adherence to financial industry regulations, while also recommending enhancements to operational processes

Job Summary

  • This role ensures accurate monitoring of client asset possession and adherence to industry regulations like the Customer Protection Rule.
  • The selected candidate will collaborate closely with management to identify opportunities that enhance operational efficiency and reduce regulatory risk.
  • Employees are expected to follow a hybrid work model requiring presence at corporate offices in Saint Petersburg, Memphis, or Southfield.

Matching Summary

Match Score: 80

Willenborg Wealth Management is seeking a Registered Regulatory Operations Analyst who will work in a hybrid model, primarily focusing on regulatory compliance, operational efficiency, and risk management. The role requires collaboration with management and internal partners to ensure adherence to financial industry regulations, while also recommending enhancements to operational processes.

Skills & Requirements

Must-have

  • Customer Protection Rule 15c3-3 compliance
  • Daily Reserve and Monthly FOCUS reporting
  • Securities possession and control monitoring
  • Operational suspense account management
  • Internal and external audit support

Nice-to-have

  • Proactive identification of efficiency opportunities
  • Strong collaboration with business partners
  • Experience in testing strategies and methodologies
  • Trend analysis and scorecard development skills

Key Requirements

  • Series 99 or equivalent license required prior to starting
  • SIE license required if no exemption applies
  • Bachelor's degree or High School diploma required
  • 7 to 12 months of general experience required

Work Rights

Not specified

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