Equitable

Equitable Network Outsourcing and Oversight Analyst

Equitable

full-time

Posted on:

Location Type: Hybrid

Location: Charlotte • North Carolina • United States

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Salary

💰 $58,000 - $74,000 per year

About the role

  • Generate and analyze metrics to assess the performance and efficiency of outsourced 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 quarterly WSP reviews, revisions and SOP updates as needed.
  • 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.
  • Participate in process walk-through meetings, as well as review and provide requested documentation to support annual AML and internal audits.

Requirements

  • 5+ years of experience in financial services, preferably with a broker-dealer background
  • FINRA Series 6 or 7 licenses highly preferred
  • 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
  • 401(k) plan
  • paid time off
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
data analysisstatistical analysiscompliancequality controloperational performance assessmentregulatory complianceAnti-Money Laundering (AML)Customer Identification Program (CIP)OFAC alert reviewsSOP updates
Soft Skills
interpersonal skillscollaborationattention to detailorganizational skillscritical thinking
Certifications
FINRA Series 6FINRA Series 7