Regulatory Relations Liaison jobs in Huntsville, AL

Hybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.

Our home office locations are: St. Petersburg, FL, Memphis, TN and Southfield, MI.

• Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
• Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
• Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures
• Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight
• Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues
• Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk
• Participates on projects
• Performs other duties and responsibilities as assigned

• Non-Financial Regulatory reporting requirements
• Financial market impacts
• Regulatory terminology, concepts, and guidance
• Back Office brokerage operations processes and procedures
• Trading life cycle (Orders, Executions, Allocations)
• FINRA, SEC and Exchange trading rules, regulations and laws

• Creating procedures and business process workflow documentation
• Evaluating processes/systems and identifying risks and controls;
• Recommending appropriate actions/revisions to resolve gaps or mitigate risk
• Microsoft Office (Excel, Access, PowerPoint) and other software applications
• Written and Verbal Communication
• Operating standard office equipment

• Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process
• Support efforts in the evaluation or implementation of an existing or new process
• Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process
• Manage multiple tasks with potential interruptions and changing priorities
• Quickly understands complex subject matters
• Demonstrate critical thinking in a constantly changing environment

• Bachelor’s Degree (B.A.) in related field and minimum of two (2) years’ experience in the areas of accounting, banking and/or financial services
  ~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 99 or ability to obtain within 120 days (as required by FINRA), required.