Sr Analyst, Regulatory Program Management

The Senior Analyst, Regulatory Program Management evaluates the reliability and effectiveness of internal controls across the company, ensuring adherence to regulatory standards and proper oversight of broker dealer activities. This role involves establishing operating routines and procedures to enable sound supervisory practices and contributing to the creation and maintenance of processes that ensure regulatory compliance. The position requires presenting findings and recommendations to management, overseeing cross-functional implementation of broker dealer programs, and evaluating existing policies to identify gaps and opportunities.