Hybrid (2-3 days onsite at corporate offices in saint petersburg, fl, memphis, tn, or southfield, mi)
Monitor client asset possession
Complete regulatory reporting
Adhere to industry and firm rules
Willenborg Wealth Management is seeking a Registered Regulatory Operations Analyst to monitor client asset possession and ensure compliance with regulations. The role requires collaboration with management and internal partners to enhance operational efficiency and mitigate risks while supporting regulatory reporting and process enhancements
Job Summary
This position will apply intermediate-level knowledge to ensure accurate monitoring of client asset possession and control, completion of regulatory reporting, and adherence to industry and firm rules.
In this role, you will collaborate closely with management to identify opportunities that enhance operational efficiency, strengthen controls, and reduce financial, reputational, and regulatory risk.
You will proactively recommend solutions to operational challenges and work with internal partners, including auditors, to research, identify, and resolve observations.
Matching Summary
Match Score: 85
Willenborg Wealth Management is seeking a Registered Regulatory Operations Analyst to monitor client asset possession and ensure compliance with regulations. The role requires collaboration with management and internal partners to enhance operational efficiency and mitigate risks while supporting regulatory reporting and process enhancements.