Business Operations Associate- Regulatory and Business Conduct Programs
On-site · Chicago, Illinois, United States
Job Summary
Operational role focused on FINRA licensing and registration controls for Commercial Banking Coverage employees, including control monitoring and critical reporting. Collaborates with Operations, Risk, Compliance, and Technology to deliver data-driven insights and process improvements that strengthen the control environment and raise operational efficiency. Analyzes critical FINRA data and risk/control metrics, prepares presentations for CB senior management, coordinates internal audit deliverables, stays current with regulatory changes impacting FINRA processes, and leverages Tableau and Alteryx for data analysis to document changes and eliminate duplications.
Required Qualifications
- Seasoned in Controls and/or FINRA Licensing
- Comprehensive understanding of the CB business and its regulatory environment
- Experienced and highly skilled in presenting to senior leaders
- Advanced proficiency in MS Office tools (Excel, Pivot Tables, VBA, PowerPoint)
- Proficient with data profiling and data analysis/visualization toolsets (e.g., Alteryx, databases, query languages) and Tableau dashboard creation
- Knowledgeable in regulatory/FINRA concepts and reporting, including control monitoring
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