Regulatory Operations Analyst
VirtualVocationsFullerton, California, United Statesjob_description.job_card.1_day_ago
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A company is looking for a Regulatory Operations Analyst (Non-Financial Regulatory Reporting).
Key Responsibilities
Produce, validate, and submit non-financial regulatory reports
Collaborate with various business units to ensure compliance with regulations
Assist in interpreting new or changing securities rules and update compliance processes
Required Qualifications
Experience in Trading or Compliance
Knowledge of non-financial regulatory reporting requirements
Familiarity with FINRA, SEC, and Exchange trading rules
Understanding of back office brokerage operations processes
Ability to compile operational information for audits with limited oversight
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Regulatory Analyst • Fullerton, California, United States
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