Senior Data Analyst (Remote)

Regulatory Compliance & Analytics Opportunity in Financial Services

Sr. Data Analyst, Regulatory Affairs

Location:      Considering candidates in all locations & remote

Summary:

The Sr. Data Analyst on the Regulatory Relations team is primarily responsible for producing data and reports in support of the Regulatory Relations team, including the collection, combination, analysis and reporting on complex data from a variety of data sources.  The data and reports support the greater Regulatory Relations team in supplying information in response to regulatory inquiries.  Reports and data must be accurate and provided timely, as deadlines are often set by the regulatory agencies. This role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to applicable regulations within the industry.

This role reports to the Vice President of Regulatory Relations.

Responsibilities:

  • Ability to analyze activities, reports and manuals to determine if they fall within regulatory guidelines
  • Work with the Regulatory Relations group in capturing data and responding to regulatory requests
  • Assists with special projects, including creating compliance reports based upon deficiencies and/or recommendations from regulatory inquiries
  • Recommending and implementing Compliance based reports
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree is required, preferably in Finance, Business Administration, Computer Science or another related field. 

Basic Requirements:

  • 2 to 5 years of reporting or data analytics experience
  • FINRA Series 7 is required
  • Proficiency in MS SQL Server is required
  • Experience in Financial Services industry required
  • Proficiency in MS Office and various other business applications
  • Strong written and verbal communication skills
  • Ability to operate effectively as part of a project team or individually

Preferred Requirements:

  • Experience in VBA and Excel macros preferred
  • FINRA Series 24 (or S8 or 9/10) preferred
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.