Brokerage Risk Analyst | Work From Office - San Jose del Monte

We’re Hiring: Brokerage Risk Analyst!

Looking for a role that fosters collaboration, creativity and career growth in a vibrant office environment? We got you covered!

Attach this together with your updated CV to become a priority applicant!

Send your application here: https://jobs.cloudstaff.com/job-preview/16460

Schedule: Night shift

Job description:

What you’ll need day-to-day or over the course of the specific project:

• Manage and support the Brokerage Books and Records Program, including monitoring and responding to intake requests (#AskBNR), tagging in-scope records, maintaining issue logs, and tracking remediation.
• Assist in developing and documenting supervisory artifacts such as updated record retention schedules, compliance attestations, and control testing evidence aligned with FINRA Rules 3110 and 3120.
• Support the Brokerage AI Governance Program by managing initiative backlogs, tracking projects, documenting governance charters, risk rating rubrics, use case assessments, and monitoring implementation adherence.
• Provide oversight and support for the Brokerage Firm Test Account Program, including tracking logs, usage approvals, decommissioning reports, and regulatory compliance evidence.
• Assist in Access Management processes, ensuring compliance with internal policies and regulatory standards, supporting user access reviews, and maintaining documentation.
• Support miscellaneous brokerage risk program documentation, issue escalations, and process improvements as required.

Qualification and requirements:

• Strong technical proficiency, including experience with AWS, databases management, and SQL for data analysis and validation.
• Comprehensive understanding of regulatory requirements, particularly SEC and FINRA regulations related to Books and Records, supervisory controls, and compliance audits.
• Excellent analytical and problem-solving skills, with proven ability to identify, escalate, and mitigate risks efficiently.
• Exceptional organizational skills with experience managing multiple concurrent projects and adapting to dynamic regulatory or technological environments.
• Strong written and verbal communication skills, with demonstrated ability to effectively collaborate and align with cross-functional teams and stakeholders.
• Detail-oriented, proactive, and committed to maintaining high ethical standards and integrity.
• Proficient in tools such as Jira, Coda, Google Workspaces, and Governance, Risk, and Compliance (GRC) systems.

Preferred Additional Skills:

• Familiarity with AI governance frameworks, policies, and compliance monitoring.
• Scripting experience using Python for automation and process improvements.
• Experience with brokerage operations, provisioning of access, and auditing.
• Proven track record in supporting internal and external audits (SOX, internal audit, regulatory examinations).
• Ability to deliver clear documentation and reporting for governance, compliance, and supervisory purposes.

Non-negotiable skills & requirements:

• Excellent analytical and problem-solving skills, with proven ability to identify, escalate, and mitigate risks efficiently.
• Comprehensive understanding of regulatory requirements, particularly SEC and FINRA regulations related to Books and Records, supervisory controls, and compliance audits.
• Strong technical proficiency, including experience with AWS, databases management, and SQL for data analysis and validation.
• Strong written and verbal communication skills, with demonstrated ability to effectively collaborate and align with cross-functional teams and stakeholders.

Perks & Benefits (Work From Office/Hybrid):

• Comprehensive health and life insurance on your 16th day of employment, covering 1 free dependent on the 16th day of employment
• Flexible leave credits which may be used for vacation, emergency and sick leaves
• Superb and exciting Mid-Year Parties – with items to give away and cash prizes!
• Endless opportunities for career advancement
• Exclusive ATM inside the office for employee's convenience
• Annual Performance Review with Salary Increase
• We set you up for success with a company-provided PC/Laptop and fiber internet connection
• Look forward to weekly office perks for work from office staff – Free Coffee, Meals and Beer Fridays!
• Top notch workplace with first class VIP lounge and game rooms
• Child friendly spaces to cater to the needs of employees with children, enhancing work-life balance
• Participate and join our CS Social Clubs and Special Interest Groups to connect with colleagues
• International career growth and connections
• Unlimited cash incentives for hired referrals
• Mental Wellness Employee Assistance program through Lifeworks
• In-house psychiatrist available to support employees' well-being
• Become part of the Employee Share Units program
• Cloudstaff Dream Points - To be used for bidding useful items like appliances, kitchenettes etc.

Established in 2005, Cloudstaff is a leading outsourcing company that empowers businesses to thrive through smarter talent solutions. We're passionate about creating a work environment that fosters your professional growth and overall well-being.

• Award-winning Culture: We're committed to building the #1 Workplace Everywhere, with a proven track record of staff engagement initiatives and industry recognition
• Invest in You: We support your development through comprehensive training programs, mentoring and opportunities for career advancement
• Thrive as an Individual: We offer a strong work-life balance with flexible schedules, meaningful perks and a collaborative team environment.

**To become a priority applicant, please share a 1-2 minute video introduction detailing you experience in this specific role. You can upload your video to the CSJobs platforms. Please use a clean, distraction-free background and speak clearly and articulately.**