Our client, a well-known wealth management firm, is looking for a Margin Operations Analyst to cover all margin risk matters within their Wealth Operations team. Responsibilities include monitoring and verifying adherence to all industry regulation surrounding margin compliance (Reg T, FINRA 4210), creating weekly and monthly risk reports , and reviewing new exception report entries. The ideal candidate will come with at least three years’ experience in margin management for a wealth manager, strong knowledge of margin regulations including Reg T, and an familiarity with BeatNXT.
Responsibilities Include:
- Reviewing account activity and exception reports for potential margin compliance issues
- Creating weekly and monthly margin risk reports
- Verifying the firm’s adherence to margin regulations including Reg-T and FINRA 4210
Requirements:
- At least three years’ experience in margin management for a wealth management firm
- Strong knowledge of Reg T and FINRA 4210
- Previous experience with BetaNXT is a plus
Pay: $30-35/hour
