FOLIOfn, Inc.

  • Operations Analyst (Control/Risk) Brokerage Operations

    Job Locations US-VA-McLean
    Posted Date 1 week ago(1 week ago)
    Job ID
    # of Openings
    Brokerage Operations
  • Overview


    The Brokerage Operations Analyst is a member of the firm’s Risk/Control function supporting its self clearing broker dealer Folio Investments LLC. In this role, the Operations Analyst will assist in the preparation and execution of various daily, weekly, monthly, and quarterly internal risk/control functions. The Analyst will provide supporting documentation to the Regulatory Reporting and Accounting groups. The Analyst will participate in risk/control testing of the broker dealer’s operational activities along with the testing and certification of the firm’s written supervisory procedures (WSP’s). The Analyst will also play an active role in margin monitoring, transactional fraud management, vendor management, escheatment and certain reconciliation activities. The Analyst will draft and publish various Operational metric reports and the Daily Net Capital report. The Analyst will assist management with all responsibilities concerning Operations impact on the Reserve Formula and FOCUS reports.




    • Assists in developing new policies and procedures to ensure the various processing streams within the broker dealer are effective, efficient and in compliance with corporate and regulatory requirements
    • Proactively remediates operational issues that can create an unstable processing environment
    • Monitors, analyzes and reports on the processing team(s) productivity, control and compliance operating environment to the Control/Risk Manager
    • Adheres to company policies and procedures and complies with legal and regulatory (FINRA and SEC) requirements
    • Monitors effective controls and processes to ensure risks are known, understood, measured, monitored and controlled on an on-going basis
    • Helps establish testing and reporting protocols for key operational activities
    • Works on margin related development and production issues (Regulation T experience preferred)
    • Works on fraud related initiatives (escalate fraudulent activity to management, produce daily tracking report, prepare meeting minutes)



    • Minimum 3+ years Financial Services Industry (Broker Dealer/RIA operations experience preferred)
    • Series 7 preferred or obtain within 180 days of hire
    • Ability to collaborate cross functionally
    • Organizational skills with strong attention to detail
    • Proficient in Microsoft Office
    • Demonstrated ability to meet deadlines and work under pressure
    • A Risk/Control mindset
    • Trustworthy, self-motivated and able to work independently to achieve successful results
    • Ability to learn quickly, think critically and problem-solve


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