Operations Consultant | Nonfinancial Regulatory Reporting

This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices. Licenses/Certifications: SIE required (prior to start), provided that an exemption or grandfathering cannot be applied. Series 99 required (prior to start). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Responsibilities Act as a business partner to important internal customers and manage relationships with them, while taking guidance from senior colleagues. Identify and evaluate complex, expertise-led solutions against a range of criteria to find the ones that best meet business needs. Execute a communications plan within established internal communication systems and procedures. Manage relationships with small clients while also helping senior colleagues manage relationships with larger key clients and customers. Write and edit material for various target populations, tailoring the tone and content to match the needs and expectations of each audience. Skills Works at an advanced level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works independently and provides guidance. Works at an advanced level to orient the organization around delivering to the key needs of clients. Typically works independently and provides guidance. Works at an advanced level to navigate customer conversations by leveraging the four parts of a service conversation: open, learn, reply, and close. Typically works independently and provides guidance. Works at an advanced level to deliver required services to clients to the required standards. Typically works independently and provides guidance.