The Risk Analyst will monitor client portfolios for risk, assess creditworthiness, collaborate with various departments, and support the risk management processes. Key duties include setting risk ratings, analyzing transactions, and providing risk management solutions related to trading and margin financing.

The Senior Compliance Analyst will manage regulatory requests and communications, ensuring compliance with FINRA, SEC, and other regulations. Responsibilities include documenting and submitting regulatory inquiries and updates, interacting with various business units, and maintaining comprehensive policies and procedures for compliance.