Lead, Operational Risk - Oversight amp; Controls

📋 Description

• Lead supervisory reviews across clearing, custody, and regulatory reporting.
• Oversee statements, tax reporting, corporate actions, DRIP, and cash management.
• Oversee CAT, CAIS, Large Trader Reporting, and related governance.
• Translate changes into supervisory controls and review standards.
• Enhance daily and periodic supervisory checklists and reconciliations.
• Monitor, escalate, and coordinate remediation of reporting and vendor issues.

🎯 Requirements

• 5+ years in broker-dealer supervision, operational risk, or regulatory reporting.
• Proven licensed supervisory reviews with strong evidence standards.
• Deep knowledge of clearing/custody workflows including ACATs and tax forms.
• Active FINRA Series 7 and Series 24 licenses (or ability to obtain within 90 days).
• Tech: Google Sheets, Excel; JIRA, Slack, FINRA CAT, Retool, Tableau.
• Ownership, superb communication, resilience, and creative problem solving.

🎁 Benefits

• Hybrid work schedule for most positions.
• Office spaces in Culver City, SF, and Dallas.
• Equity for eligible positions.
• Premium healthcare, dental, and vision insurance (HMO and PPO).
• 401k with a 4% match and immediate vesting.
• 16 weeks paid parental leave.