Regulatory Operations Analyst

Willenborg Wealth Management

Southfield, MI, US
Hybrid (3 days in-office, averaging 12 days per month)
Hands-on experience with cat and cais reporting
Knowledge of non-financial regulatory reporting
Understanding of trading life cycle and brokerage operations
Willenborg Wealth Management is seeking a detail-oriented Regulatory Operations Analyst with hands-on experience in regulatory reporting, specifically related to CAT and CAIS. The role involves ensuring compliance with non-financial regulatory requirements and requires relevant certifications while offering a hybrid work schedule with a strong emphasis on collaboration

Job Summary

  • This role is responsible for monitoring client asset possession and preparing accurate regulatory reports to ensure compliance with industry rules.
  • The position requires a hybrid work schedule with three days per week in the Southfield, MI office.
  • Candidates must hold a Series 99 certification or qualify for an exemption based on other principal-level registrations.

Matching Summary

Match Score: 85

Willenborg Wealth Management is seeking a detail-oriented Regulatory Operations Analyst with hands-on experience in regulatory reporting, specifically related to CAT and CAIS. The role involves ensuring compliance with non-financial regulatory requirements and requires relevant certifications while offering a hybrid work schedule with a strong emphasis on collaboration.

Skills & Requirements

Must-have

  • Hands-on experience with CAT and CAIS reporting
  • Knowledge of non-financial regulatory reporting
  • Understanding of trading life cycle and brokerage operations
  • Ability to validate and submit regulatory reports

Nice-to-have

  • Strong critical thinking in changing environments
  • Experience collaborating with internal auditors
  • Proactive engagement with business partners

Key Requirements

  • Series 99 certification required prior to start
  • SIE exam required prior to start
  • 7 to 12 months general work experience
  • High school diploma required
  • No visa sponsorship available

Work Rights

Must have US work authorization (no visa sponsorship)

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