Senior Prime Brokerage Compliance Analyst

Wedbush; Pasadena (CA); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

Health Savings Account with company‑s­

Flexible Spending Accounts (FSA)

Pre-Tax Commuter Benefits

401(k) plan with company match

Tuition reimbursement

Paid time off

Paid holidays

Charitable donation matching

Job summary

Wedbush Securities in Pasadena, CA is seeking a seasoned compliance professional to supervise Prime Brokerage activities, perform ongoing due diligence on correspondent clients, and assess regulatory changes.

You will monitor CAT/CAIS filings, large trader activity, and draft updates to WSPs; 5+ years of related experience and FINRA licenses required. The role offers comprehensive benefits and competitive compensation.

Qualifications

• 5+ years of related experience in compliance or audit.
• FINRA licenses: Series 7, 63/66, 24 required; Series 57, 9/10 preferred.
• Knowledge of CAIS/CAT, Microcap securities, DMA and Prime Brokerage.
• Experience in broker-dealer operations and regulatory rules.
• Excellent communication and presentation skills across departments.
• Highly organized with the ability to manage multiple projects.

Responsibilities

• Supervises Prime Brokerage monitoring of clearing activity.
• Reviews receipt of low priced securities for correspondent clients.
• Provides regulatory oversight by monitoring CAIS/CAT filings and reports.
• Assists with resolution of rejections.
• Monitors Large Trader activity and issues notices.
• Performs ongoing correspondent due diligence reviews.
• Reviews changes in regulations and drafts updates to WSPs and procedures.

Skills

Regulatory compliance

Audit experience

Communication skills

Analytical thinking

Multi-tasking

Industry knowledge

Tools

CAIS/CAT systems

Trade reporting systems

DMA access

Job description

Wedbush Securities in Pasadena, CA is seeking a seasoned compliance professional to supervise Prime Brokerage activities, perform ongoing due diligence on correspondent clients, and assess regulatory changes.

You will monitor CAT/CAIS filings, large trader activity, and draft updates to WSPs; 5+ years of related experience and FINRA licenses required. The role offers comprehensive benefits and competitive compensation.