Join a high-visibility Regulatory and Business Conduct Programs team role that protects Commercial Banking by owning Financial Industry Regulatory Authority (FINRA) licensing/registration controls, control monitoring, and critical reporting. Partner across Operations, Risk, Compliance, and Technology to deliver data-driven insights and process enhancements that strengthen the control environment and elevate operational efficiency.
As a Business Operations Associate in the Regulatory and Business Conduct Programs team, you will ensure effective controls for FINRA licensing and registration of Commercial Banking Coverage employees, Control monitoring initiatives and critical reporting within a Commercial Bank. You will collaborate with diverse teams to enhance the monitoring control environment and improve operational efficiency. This role offers high visibility and the opportunity to influence enhancements that strengthen the control monitoring environment.
Job Responsibilities
- Analyze critical FINRA data, control metrics, perform detailed risk, and control monitoring assessments.
- Partner with groups outside of Business Control (i.e., Operations, Risk, Compliance, and Technology) to influence enhancements that strengthen the control environment and improve operational efficiency.
- Prepare analysis and slides for presentations to support Commercial Bank senior management’s FINRA milestones.
- Stay current with evolving industry and regulatory changes and analyze their impact on FINRA processes and compliance.
- Coordinate Audit deliverables with firmwide and cross-functional partners.
- Leverage tools such as Tableau and Alteryx to perform data analysis on FINRA.
- Update procedures frequently to ensure detailed documentation of the business changes and eliminate duplication of efforts.
- Serve along your manager to coordinate internal audit, facilitating communication and collaboration to ensure alignment and compliance with requirements.
Required Qualifications, Capabilities, and Skills
- Seasoned in Controls and/or FINRA Licensing.
- Comprehensive understanding of the CB business and its regulatory environment.
- Experienced and highly skilled in presenting to senior leaders.
- Advanced proficiency in Microsoft Office tools (Excel, Pivot Tables, VBA, PowerPoint).
- Proficient with data profiling and data analysis/visualization toolsets (e.g., Alteryx, databases, query languages) and Tableau dashboard creation.
- Knowledgeable in regulatory/FINRA concepts and reporting, including control monitoring.
Preferred Qualifications, Capabilities, and Skills
- Experience with Commercial Coverage Banking within the Commercial &Investment Bank; operational and/or control management experience in other areas may be considered, though the role focuses on Commercial Coverage Banking businesses.
- Demonstrated leadership to win initiatives and projects end-to-end, develop execution plans, and follow through to completion.
- Adaptable in respectfully challenging the status quo, raising issues timely, and working under pressure to meet changing requirements and strict deadlines.
- Capable of understanding the big picture while maintaining a detailed focus on requirements
- Effective at building relationships across functions teams with excellent verbal/written communication and the ability to present complex and sensitive issues concisely and persuasively to management.
- Proven in identifying and solving control issues that may impact FINRA licensing and controls.