Regulatory Operations Analyst (Hybrid in St Pete, FL/Southfield/MI/Memphis, TN) (Southfield)

This is a Hybrid position in St. Petersburg, FL Memphis, TN or Southfield, MI. Licenses/Certifications: SIE and Series 99 required Brokerage operations and how functions performed by Operations Control align with business partners Financial industry rules, regulations and laws relating to processes performed by Operations Control Regulatory terminology, concepts, and guidance Brokerage industry and financial markets Accounting principles/concepts Concepts, practices and procedures for testing operational systems/processes Skill in: Conducting quality control reviews for functions performed within Operations Creating procedure and business process workflow documentation Evaluating processes/systems and identifying risks and controls; recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk Executing training materials/programs Executing test strategies, methodologies and analysis Operating standard office equipment and using required Microsoft Office 365 software (Excel, Access, PowerPoint) and other software applications Ability to: Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a control or process Support efforts in the evaluation or implementation of a control or process With minimal guidance, interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and security laws that apply to a process are correctly followed Manage multiple tasks with changing priorities; meet deadlines in a fast-paced environment with constant interruptions; adapt to a constantly changing environment. Demonstrate strong numerical aptitude and use critical thinking when solving operational problems Provide a high level of customer service