Financial Analyst

Financial Services Operations & Compliance Specialist

Position Overview

The Financial Services Operations & Compliance Specialist supports the day-to-day operations of the company's financial activities, including securities account administration, financial reporting, regulatory compliance, and licensing requirements. This role works closely with financial institutions and internal teams to facilitate account management, maintain accurate financial information, coordinate regulatory filings, and ensure compliance with applicable industry requirements. The ideal candidate is highly organized, detail-oriented, and interested in developing their knowledge of the financial services and securities industry.

Key Responsibilities

• Financial Account Administration: Coordinate the opening, setup, and ongoing maintenance of bank, brokerage, and other financial accounts. Prepare required documentation and communicate with financial institutions to support account activities and ensure records remain current.
• Financial Operations & Reporting: Prepare and maintain daily financial and operational reports, verify transaction and account information, and perform reconciliations to support accurate reporting and effective financial oversight.
• Financial Recordkeeping: Maintain accurate financial records and prepare supporting documentation and journal entries as needed for reporting and operational purposes.
• Regulatory Reporting & Compliance: Prepare, review, and submit required regulatory filings, ensuring information is accurate, complete, and submitted in accordance with applicable industry requirements and deadlines.
• Securities Licensing & Registration: Successfully complete required FINRA qualification examinations and obtain and maintain applicable securities registrations and licenses as designated by the company.
• Employee Compliance Monitoring: Track employee licensing, continuing education, training, and other regulatory obligations to ensure requirements are met and maintained within established deadlines.
• Operational & Administrative Support: Maintain organized records, support financial services workflows, and assist with administrative and operational activities that contribute to efficient business operations.
• Systems & Technology: Utilize Microsoft Office applications, particularly Excel, Word, Outlook, and PowerPoint, to manage documentation, prepare reports, track compliance requirements, and support daily operations.

Qualifications & Skills

• Strong organizational skills and attention to detail.
• Interest in financial services, securities operations, brokerage activities, and regulatory compliance.
• Ability to manage confidential financial information and maintain accurate records.
• Strong analytical, problem-solving, and data verification skills.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Office Suite, particularly Excel, Word, and Outlook.
• Ability to manage multiple priorities and meet regulatory and operational deadlines.
• Willingness to obtain and maintain required FINRA qualifications, securities registrations, and applicable licenses.

Preferred Qualifications

• Experience in financial services, brokerage operations, investment administration, or regulatory compliance.
• Familiarity with financial accounts, securities transactions, or financial reporting processes.
• Exposure to FINRA regulations, securities licensing, or other financial industry compliance requirements.

Equal opportunity employer