Broker Dealer Controls Fraud Prevention & Control VIP & Privacy

Seneca Resources; Pennsylvania; Hybrid; USD 63,000 - 77,000; Full time

Benefits offered by this job

Target bonus

Partnership bonus

Hybrid work schedule

Health, dental, and vision coverage

Job summary

Seneca Resources seeks a detail-oriented Privacy Incident and Compliance Analyst to research, investigate, document, and resolve potential privacy incidents while supporting regulatory compliance and risk-mitigation initiatives. This role targets a financial services professional with securities licensing who is passionate about protecting client data and strengthening privacy controls.

This position follows a hybrid schedule: work from home on Mondays and Fridays, with in-office work on

Qualifications

• Active SIE, Series 7, and Series 63 licenses; Series 7 and Series 63 must be obtained before submission.
• Bachelor's degree or an equivalent combination of education, training, and experience.
• At least one year of relevant professional experience.
• Experience in data privacy, privacy incident response, regulatory compliance, fraud prevention, risk management, or controls is preferred.
• Knowledge of Personal Wealth processes and systems is preferred, or demonstrated ability to quickly develop that expertise.
• Strong written communication, editing, documentation, and analytical skills.
• Ability to investigate complex issues, identify control gaps, and recommend risk-mitigation actions.

Responsibilities

• Research and review reports submitted through fraud hotlines and other reporting channels.
• Analyze potential privacy incidents, conduct investigations, identify root causes, and support timely resolution.
• Escalate complex or high-risk matters and obtain required approvals for corrective actions.
• Prepare privacy incident correspondence and respond to routine privacy-related inquiries.
• Follow guidance from Global Privacy and Legal Privacy teams.
• Assess potential control failures and collaborate with management and business partners to address high-risk scenarios.
• Maintain written procedures related to privacy incident management and coordinate the distribution of updated policies and procedures.
• Monitor regulatory requirements, privacy procedures, and industry developments.
• Support privacy incident prevention through awareness programs, training, and reinforcement of best practices.
• Maintain accurate investigation documentation and communicate findings clearly to stakeholders.
• Participate in special projects and perform additional duties as assigned.

Skills

Privacy incident

Regulatory compliance

Fraud prevention

Risk management

Data privacy

Analytical

Written communication

Documentation

Attention to detail

Independent work

Cross-functional

Investigations

Education

Bachelor's degree

Job description

Position Title: Broker-Dealer Controls, Fraud Prevention & Privacy Analyst

Location: Scottsdale, AZ; Malvern, PA; or Charlotte, NC

Clearance Requirements: None

Pay Rate: $35–$36/hour for contract-to-hire; full-time opportunity available at $70,000 annually, plus a $2,500 target bonus and $9,000 partnership bonus

Position Description

We are seeking a detail-oriented Privacy Incident and Compliance Analyst to research, investigate, document, and resolve potential privacy incidents while supporting regulatory compliance and risk-mitigation initiatives. This role is ideal for a financial services professional with securities licensing who is passionate about protecting client data and strengthening privacy controls.

This position follows a hybrid schedule: work from home on Mondays and Fridays, with in-office work on Tuesdays, Wednesdays, and Thursdays.

Key Responsibilities Include

• Research and review reports submitted through fraud hotlines and other reporting channels.
• Analyze potential privacy incidents, conduct investigations, identify root causes, and support timely resolution.
• Escalate complex or high-risk matters and obtain required approvals for corrective actions.
• Prepare privacy incident correspondence and respond to routine privacy-related inquiries.
• Follow guidance from Global Privacy and Legal Privacy teams.
• Assess potential control failures and collaborate with management and business partners to address high-risk scenarios.
• Maintain written procedures related to privacy incident management and coordinate the distribution of updated policies and procedures.
• Monitor regulatory requirements, privacy procedures, and industry developments.
• Support privacy incident prevention through awareness programs, training, and reinforcement of best practices.
• Maintain accurate investigation documentation and communicate findings clearly to stakeholders.
• Participate in special projects and perform additional duties as assigned.

Top Requirements

• Active SIE, Series 7, and Series 63 licenses; Series 7 and Series 63 must be obtained before submission.
• Bachelor’s degree or an equivalent combination of education, training, and experience.
• At least one year of relevant professional experience.
• Experience in data privacy, privacy incident response, regulatory compliance, fraud prevention, risk management, or controls is preferred.
• Knowledge of Personal Wealth processes and systems is preferred, or demonstrated ability to quickly develop that expertise.
• Strong written communication, editing, documentation, and analytical skills.
• Ability to investigate complex issues, identify control gaps, and recommend risk-mitigation actions.
• Strong attention to detail with the ability to manage deadlines and multiple priorities.
• Ability to work independently while building effective relationships with cross-functional partners.
• Understanding of privacy regulations, regulatory procedures, and compliance requirements.
• Willingness to work in a hybrid schedule from Scottsdale, AZ; Malvern, PA; or Charlotte, NC.
• This role may require additional regulatory licenses or registrations based on role-specific duties, as determined by Compliance.

About Seneca Resources

At Seneca Resources, we are more than just a staffing and consulting firm, we are a trusted career partner. With offices across the U.S. and clients ranging from Fortune 500 companies to government organizations, we provide opportunities that help professionals grow their careers while making an impact.

When you work with Seneca, you’re choosing a company that invests in your success, celebrates your achievements, and connects you to meaningful work with leading organizations nationwide. We take the time to understand your goals and match you with roles that align with your skills and career path. Our consultants and contractors enjoy competitive pay, comprehensive health, dental, and vision coverage, 401(k) retirement plans, and the support of a dedicated team who will advocate for you every step of the way.

Seneca Resources is proud to be an Equal Opportunity Employer, committed to fostering a diverse and inclusive workplace where all qualified individuals are encouraged to apply.