Regulatory Operations Analyst

Willenborg Wealth Management

Southfield, MI, USA
**
Cat and cais regulatory reporting
Non-financial regulatory reports production
Financial, reputational, and regulatory risk mitigation
** Willenborg Wealth Management is seeking a detail-oriented Regulatory Operations Analyst to ensure compliance with non-financial regulatory reporting requirements, focusing on CAT and CAIS. The role involves collaboration with various teams and requires specific certifications, with a hybrid work environment requiring three in-office days per week. **

Job Summary

  • This position plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements, monitoring asset possession and control, and ensuring adherence to industry rules.
  • The analyst will collaborate with management to identify and mitigate risks, interpret evolving regulatory requirements, and recommend process improvements.
  • This role requires close interaction with internal stakeholders, including compliance teams and internal auditors, to resolve observations and ensure reporting integrity.

Matching Summary

Match Score: 75

** Willenborg Wealth Management is seeking a detail-oriented Regulatory Operations Analyst to ensure compliance with non-financial regulatory reporting requirements, focusing on CAT and CAIS. The role involves collaboration with various teams and requires specific certifications, with a hybrid work environment requiring three in-office days per week. **

Skills & Requirements

Must-have

  • CAT and CAIS regulatory reporting
  • Non-financial regulatory reports production
  • Financial, reputational, and regulatory risk mitigation
  • Interpretation of new regulatory requirements

Nice-to-have

  • Hybrid-friendly schedule
  • Client-first, integrity, independence, long-term view

Key Requirements

  • SIE required prior to start
  • Series 99 required prior to start
  • 7 to 12 months general experience

Work Rights

Not specified

Tailored Resume

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