Brokerage Operations & Regulatory Risk Analyst

BBAE; Plano (TX); Sur place; USD 85 000 - 120 000; Plein temps

Résumé du poste

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.

Qualifications

• 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.

Responsabilités

• 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.

Connaissances

Analytical skills

Project coordination

Written communication

Verbal communication

Mandarin and English bilingual

Formation

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

Outils

Brokerage platforms

Operational systems

Financial technology solutions

Description du poste

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.