Tech Stack

Description

You will provide second-line oversight of client-facing operational workflows, including statements, document delivery, branding governance, and communication handling. Execute supervisory reviews, validate vendor outputs, monitor controls, and ensure communication processes meet regulatory and audit standards, directly contributing to the firm's regulatory defensibility and audit readiness.

Requirements

• 3-5 years in broker-dealer operations, clearing and custody environments, regulatory supervision support, or financial services risk and controls roles.
• Experience executing structured reviews, validating control outputs, and maintaining defensible documentation standards.
• Strong working knowledge of statements, confirms, tax forms, ACATs, corporate actions.
• Active FINRA Series 7 required; willingness to pursue Series 24 within a defined time preferred.
• Strong proficiency in Google Sheets and Excel.
• Comfort working in oversight and vendor platforms such as FIS, Mediant, BetaNXT/Maxit, Sovos, Sterling Risk, FINRA CAT, Retool, Tableau, SS&C, proxy and voting platforms, and workflow systems such as JIRA and Slack.

Responsibilities

• Execute second-line supervisory reviews over statement production, document uploads, branding updates, and communication templates prior to release.
• Perform daily and periodic reconciliations, including statement counts versus vendor consoles and document validation controls.
• Monitor suspense and exception queues related to communications, account maintenance, and document delivery workflows.
• Escalate identified control gaps, vendor issues, and documentation deficiencies with clear risk summaries and supporting evidence.
• Provide independent oversight of address updates and delivery preference changes, validating regulatory documentation and system accuracy.
• Monitor and track returned mail, undeliverable statements, and bounced communications, ensuring appropriate remediation and control documentation.
• Serve as oversight partner to Operations, Product, Engineering, Compliance, and third-party vendors to strengthen communication-related control frameworks.
• Maintain audit-ready documentation and supervisory review trails to support BDO audits and regulatory examinations.
• Identify structural weaknesses in communication workflows and recommend control enhancements.