Regulatory Operations Analyst
About The Position
We’re looking for a detail‑oriented, analytical professional to join our Operations Control team. In this role, you’ll help safeguard client assets, support regulatory compliance, and partner with internal teams to strengthen the firm’s operational integrity. This is an excellent opportunity for someone with experience in brokerage operations, financial regulations, accounting, or operational risk who’s ready to take the next step in their career. 🔹 What You’ll Do As an Operations Control Analyst, you’ll play an important part in ensuring the firm meets SEC and FINRA requirements while identifying risks and opportunities to improve operational efficiency. Your work helps protect the firm, our clients, and our reputation. 🔹 What You Bring We’re looking for someone who enjoys problem‑solving, understands financial operations, and thrives in a fast‑moving environment.
Requirements
- Knowledge of brokerage operations, financial markets, and SEC/FINRA regulations
- Strong analytical skills and comfort working with numbers
- Experience reviewing operational processes, identifying risks, and recommending improvements
- Ability to write and update procedures, conduct testing, and support audits
- Intermediate proficiency with Microsoft Excel, Access, and PowerPoint
- Excellent communication skills and the ability to collaborate across teams
- Strong time‑management skills and the ability to adapt to changing priorities
- Must live or work within 50 miles of a home office location. St Petersburg, FL, Memphis, TN, or Southfield, MI
- Must have SIE and Series 99
Responsibilities
- Monitor daily possession & control requirements to ensure compliance with the SEC Customer Protection Rule
- Support weekly and monthly regulatory reporting, including Reserve Formula and FOCUS filings
- Review suspense, clearing, and dealer accounts to identify breaks or irregularities
- Assist with interpreting new regulations and updating internal processes accordingly
- Provide documentation and support for internal and external audits
- Conduct testing of controls and participate in remediation efforts when issues arise
- Review reconciliation work to ensure accuracy and timely resolution of discrepancies
- Contribute to monthly operational scorecards and trend analysis
- Participate in quarterly physical securities verification
- Collaborate with operations teams to recommend process and control improvements
Benefits
- Medical, dental & vision
- Critical Illness, Accident, and Hospital
- 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available
- Life Insurance (Voluntary Life & AD&D for the employee and dependents)
- Short and long-term disability
- Health Spending Account (HSA)
- Transportation benefits
- Employee Assistance Program
- Time Off/Leave (PTO, Vacation or Sick Leave)
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
