Operational Risk Oversight Lead

New

Skills

Excel Google Sheets Jira Retool Slack Tableau

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. 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. 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.

Key Responsibilities
  • Lead supervisory reviews across different operational areas
  • Enhance supervisory controls and review standards
  • Monitor, escalate, and coordinate remediation of reporting and vendor issues
Required Skills & Qualifications
  • 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

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: 12 Months

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