Regulatory Operations Analyst - Southfield, MI
2 weeks ago

Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations.Responsibilities
- Collaborates with management to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk/li>
- Assists and provides input in the interpretation of new/changing securities rules/regulations/policies/laws;
- Compiles operational account information for internal/external auditors/(e.g., FINRA,/SEC)
- Escalate identified issues to Supervisor/Manager;/lI>
Job description
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