Related skills
google sheets tableau excel fis mediant📋 Description
- Provide second-line oversight of client communications workflows (statements, delivery, branding).
- Execute structured supervisory reviews and validate vendor outputs.
- Monitor control effectiveness and ensure regulatory/documentation standards.
- Maintain audit-ready documentation and supervisory trails for audits.
- Collaborate with Operations, Product, Compliance, and vendors to strengthen controls.
🎯 Requirements
- 3-5 years in broker-dealer ops or financial services risk and controls.
- Experience executing structured reviews and defensible documentation.
- Active FINRA Series 7 license; Series 24 within defined time preferred.
- Google Sheets and Excel; familiarity with vendor platforms (FIS, Mediant, Sovos, FINRA CAT, Retool, Tableau).
- Strong ownership, communication, resilience, and creative problem solving.
🎁 Benefits
- Hybrid work schedule for most positions to promote strong, in-person collaboration.
- Office spaces in Culver City, SF, and Dallas for collaboration.
- Competitive pay and equity for eligible positions.
- Premium healthcare, dental, and vision insurance plans (HMO and PPO).
- 401k with 4% match and immediate vesting.
- 16 week paid parental leave.
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