Senior Regulatory Oversight Associate

Wedbush; Pasadena (CA); Presencial; USD 90 000 - 140 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical/Dental/Vision

401(k) Matching

Tuition Reimbursement

Paid Time Off

Paid Holidays

License Sponsorship

Resumo da oferta

Wedbush Securities in Pasadena seeks a Senior Associate, Regulatory Supervision to oversee Prime Brokerage activity, perform due diligence and assess regulatory changes. The role focuses on compliance reviews and supervisory controls across correspondent clients and clearing functions.

The ideal candidate has 5+ years in regulatory supervision, FINRA licenses, and deep knowledge of CAIS/CAT, DMA and Large Trader Rules.

Qualificações

• 5+ years of relative experience in regulatory supervision.
• FINRA licenses: 7/63/66/24 required.
• FINRA Series 57, 9/10 preferred.
• Knowledge of CAIS/CAT, DMA, Large Trader Rules.
• Experience with broker-dealer operations and clearing responsibilities.
• Strong communication and analytical skills.

Responsabilidades

• Supervises Prime Brokerage and monitoring of clearing activity.
• Reviews receipt of low priced securities for correspondent clients.
• Provides regulatory oversight via CAIS/CAT filings and reports.
• Monitors Large Trader activity and issues notices.
• Assesses new regulations and suggests improvements to services.
• Updates WSPs and desk procedures for compliance.

Conhecimentos

FINRA Licenses: Series 7/63/66/24

Series 57, 9/10 preferred

CAIS/CAT/DMA knowledge

Broker-dealer operations

Communication skills

Analytical thinking

Descrição da oferta de emprego

Wedbush Securities in Pasadena seeks a Senior Associate, Regulatory Supervision to oversee Prime Brokerage activity, perform due diligence and assess regulatory changes. The role focuses on compliance reviews and supervisory controls across correspondent clients and clearing functions.

The ideal candidate has 5+ years in regulatory supervision, FINRA licenses, and deep knowledge of CAIS/CAT, DMA and Large Trader Rules.