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Equitable · 3 days ago

Broker Dealer Outsourcing and Oversight Analyst (HYBRID or REMOTE)

United States

Full-time

Hybrid

Mid, Senior Level

$75K/yr - $85K/yr

5+ years exp

Equitable is a company committed to helping clients secure their financial well-being. They are seeking a Broker Dealer Outsourcing and Oversight Analyst to ensure the effective oversight of outsourced broker-dealer operations, maintain compliance with regulatory standards, and support senior leadership with actionable insights.

BankingConsultingFinancial Services

H1B Sponsor Likely

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

Broker-dealer operationsRegulatory complianceData analysisFINRA Series 6Statistical analysisManaging multiple prioritiesEffective communicationsAttention to detail

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

Glassdoor3.6

Equitable provides consulting services to secure the financial well-being and retirement strategies for individuals and families.

Founded in 1859

New York, New York, USA

5001-10000 employees

https://equitable.com/

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)