Equitable · 1 month ago
Broker Dealer Outsourcing and Oversight Analyst
UNITED STATES-NC-Charlotte
Full-time
Onsite
Mid, Senior Level
$75K/yr - $85K/yr
5+ years expEquitable is a company committed to helping clients secure their financial well-being. They are seeking a detail-oriented Broker Dealer Outsourcing and Oversight Analyst to ensure effective oversight of outsourced broker-dealer operations while maintaining compliance with regulatory standards.
BankingConsultingFinancial Services
Responsibilities
Generate and analyze metrics to assess the performance and efficiency of outsourced broker-dealer and Equitable Network operations
Monitor and review outsourced service level agreements (SLAs) to ensure compliance with agreed-upon standards and regulatory requirements
Conduct daily Customer Identification Program (CIP) and OFAC alert reviews to identify and address potential compliance issues
Identify and report Anti-Money Laundering (AML) flags, ensuring timely escalation and resolution
Review outsourced data entry for accuracy and quality control, implementing corrective measures where necessary
Provide recommendations to senior leadership based on analysis of operational performance and regulatory compliance findings
Support various supervisory procedures of the broker-dealer to ensure adherence to regulatory obligations and industry standards
Interface with Financial Professions and support staff as needed
Identify errors in operations and utilize analytical and statistical methods to detect trends, patterns, and outliers for resolution
Qualification
Required
5+ years of experience in financial services, preferably with a broker-dealer background
Preferred
FINRA Series 6 or 7 & Series 24 licenses
Advanced knowledge of the financial services industry, including comprehensive understanding of broker-dealer operations, insurance industry products and process as well as regulatory requirements for each
Knowledge of end-to-end business functions within operations, including data analysis, compliance, and quality control
Proven ability to apply statistical analysis and critical thinking to identify operational outliers and drive process improvements
Interpersonal skills and the ability to collaborate with internal teams and external vendors
Exceptional attention to detail and organizational skills
Commitment to maintaining high ethical standards and regulatory compliance
Benefits
Medical
Dental
Vision
A 401(k) plan
Paid time off
Company
Equitable
Equitable provides consulting services to secure the financial well-being and retirement strategies for individuals and families.
5001-10000 employees
H1B Sponsorship
Equitable has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (31)
2024 (18)
2023 (26)
2022 (37)
2021 (20)
2020 (12)
Funding
Current Stage
Late StageLeadership Team
Mark Pearson
CEO and President
Vincent Xuan
Head of Life Insurance & CEO of Equitable Financial Bermuda Re
Recent News
MarketScreener
2025-11-04
2025-10-27
Company data provided by crunchbase