Brokerage Operation Analyst (Bilingual Mandarin)

BBAE; Plano (TX); Presencial; USD 85.000 - 120.000; Jornada completa

Descripción de la vacante

BBAE, via Redbridge Securities, is seeking a Brokerage Operations Analyst to strengthen regulatory compliance and operational efficiency within the broker-dealer function.

The role collaborates with Compliance, Product, Technology, Customer Experience, Finance, and the clearing broker to implement controls, support regulatory initiatives, and enhance brokerage products while maintaining FINRA and SEC standards.

Formación

• Master's degree in Finance, Economics, or Business Administration.
• Strong knowledge of U.S. broker-dealer operations and FINRA/SEC regulations.
• Excellent analytical and communication skills; ability to coordinate cross-functionally.
• Bilingual in Mandarin and English.

Responsabilidades

• Ensure compliance with FINRA, SEC, and internal policies.
• Perform risk-based reviews of operations, transactions, and customer accounts.
• Collaborate with Compliance, Product, Technology, and Finance to optimize processes.
• Translate regulatory requirements into actionable specifications for technology initiatives.

Conocimientos

Analytical skills

Project coordination

Written communication

Verbal communication

Mandarin and English bilingual

Educación

Master's degree in Finance, Economics, or Business Administration

Herramientas

Brokerage platforms

Operational systems

Financial technology solutions

Descripción del empleo

BBAE (via Redbridge Securities, FINRA Broker-Dealer)

Position Summary:

The Brokerage Operations Analyst supports the firm's broker-dealer operations by combining regulatory compliance, operational risk management, business process optimization, and cross-functional collaboration. This position partners with Compliance, Product Management, Technology, Customer Experience, Finance, and the firm's clearing broker to strengthen internal controls, support regulatory initiatives, enhance brokerage products, and improve operational efficiency while ensuring compliance with FINRA, SEC, and other applicable regulatory requirements.

Key Responsibilities:

• Support broker-dealer operations while ensuring compliance with FINRA, SEC, and internal supervisory policies and procedures.
• Perform risk-based reviews of operational activities, securities transactions, and customer accounts to identify regulatory, operational, and control risks.
• Interpret regulatory requirements and collaborate with internal stakeholders to ensure operational processes remain aligned with evolving regulatory expectations.
• Support regulatory reporting, supervisory reviews, books and records requirements, internal audits, and compliance monitoring activities.
• Analyze operational metrics, exception trends, and risk indicators to identify opportunities for stronger controls and operational improvements.
• Provide operational and regulatory subject matter expertise during product planning, feature design, and implementation discussions.
• Evaluate the regulatory impact of new products and platform functionality and recommend operational enhancements before deployment.
• Translate operational, compliance, and business requirements into functional specifications for technology initiatives.
• Support user acceptance testing (UAT), production releases, and post-implementation validation.
• Review options applications, suitability assessments, approval levels, margin accounts, and account restrictions in accordance with regulatory requirements and firm policies.
• Monitor margin deficiencies, options exposure, exception reports, and account risks requiring supervisory review.
• Investigate operational exceptions and coordinate resolution with internal stakeholders and the firm's clearing broker.
• Lead or participate in workflow optimization, automation, operational scalability, and continuous process improvement initiatives.
• Develop, review, and enhance internal operating procedures, supervisory documentation, and governance frameworks.
• Support implementation of regulatory changes, operational policies, and strategic business initiatives.
• Recommend workflow enhancements based on operational analysis, customer feedback, regulatory developments, and business objectives.
• Perform other related duties as assigned by management.

Required Qualifications, Skills And Capabilities:

• Master's degree in Finance, Economics, Business Administration, or a related field.
• Strong knowledge of U.S. broker-dealer operations, securities markets, FINRA and SEC regulations.
• Excellent analytical, project coordination, written, and verbal communication skills.
• Experience working with brokerage platforms, operational systems, and financial technology solutions.
• Bilingual in Mandarin and English.

Required Licenses:

• FINRA Series 7 required
• Ability to obtain within 3-6 months of hire and maintain all required securities registrations and licenses for assigned responsibilities.

Physical Demands:

This position is primarily office-based and requires prolonged periods of sitting and working at a computer. The role involves frequent use of standard office equipment, including computers, telephones, and other office technology. Employees may occasionally stand, walk, or move throughout the office to attend meetings or collaborate with team members. Occasional lifting or moving of office materials or equipment of up to 30 pounds may be required. Specific vision abilities required for this position include close vision, color vision, and the ability to adjust focus. Occasional overtime may be required to meet business or regulatory deadlines.

Equal Employment Opportunity (EEO) Statement:

BBAE Holdings LLC is committed to providing equal employment opportunities to all applicants and employees. Employment decisions are made without regard to race, color, religion, creed, sex, sexual orientation, gender identity or expression, national origin, age, disability, pregnancy, genetic information, marital status, veteran status, or any other characteristic protected by applicable federal, state, or local law. BBAE Holdings LLC is committed to fostering a diverse, inclusive, and respectful workplace where all employees are treated with dignity and respect and have the opportunity to succeed.