Technical Writers - Broker Dealer

C4 Technical Services - Plymouth, MN

Full-time

Remote - Plymouth, MN

Professional, Scientific, and Technical Services

About the position

The Technical Writer will develop comprehensive and precise Standard Operating Procedure (SOP) documentation for a broker-dealer business. This role involves collaborating with subject matter experts (SMEs) in areas such as compliance, trading, client management, and operations to create user-friendly SOPs. The ideal candidate has experience in financial services documentation, excellent writing skills, and a deep understanding of the broker-dealer regulatory environment.

Responsibilities

• Write, edit, and organize clear, concise, and accurate SOPs covering broker-dealer processes, compliance standards, client onboarding, and other operational functions.
• Work closely with SMEs, including compliance officers, trading managers, and operations staff, to gather information and ensure the accuracy and completeness of all documentation.
• Identify, analyze, and document workflows, creating process maps and flowcharts as needed to visually represent the steps within each SOP.
• Ensure all documentation meets the latest regulatory requirements (e.g., FINRA, SEC) and follows best practices in the broker-dealer industry.
• Manage version control for all SOPs, ensuring documentation is up-to-date and appropriately archived.
• Develop user-friendly materials that can be leveraged for training and onboarding, ensuring documentation is accessible and understandable for both new and experienced staff.
• Review SOPs for accuracy, completeness, and compliance with internal and external standards, conducting updates as processes evolve.

Requirements

• Minimum 3-5 years of technical writing experience in financial services, preferably in broker-dealer, trading, or investment banking environments.
• Exceptional writing and editing skills, with a keen attention to detail and a strong ability to convey complex information in an accessible format.
• Familiarity with the regulatory requirements and typical workflows within a broker-dealer setting, including AML, KYC, trade execution, and compliance.
• Proficiency in documentation tools such as Microsoft Word, Visio, Confluence, and other relevant platforms for SOP documentation.
• Strong analytical skills with the ability to understand complex processes and distill them into clear, concise SOPs.
• Ability to manage multiple SOP projects simultaneously, prioritizing tasks and meeting deadlines.

Nice-to-haves

• Relevant certifications in technical writing or regulatory compliance in financial services.
• Knowledge of financial services standards such as FINRA guidelines and SEC requirements.
• Experience with Lean, Six Sigma, or similar process improvement methodologies.