US Securities Operations & Regulatory Oversight
About The Position
G MASS Consulting are supporting a global investment bank with the build-out of a US-facing securities operations and regulatory oversight capability. This is a multi-hire programme spanning junior through senior levels, focused on post-trade operations within a FINRA-regulated environment. Successful candidates will initially join as G MASS consultants, with the clear intention to convert to permanent employees with the client as the function becomes embedded. Depending on level, responsibilities will include a combination of: Securities settlements across US markets Asset servicing, including corporate actions and income processing Collateral and margin operations, including reconciliations and dispute management Operating within a US broker-dealer framework and FINRA-regulated environment Interaction with clearing firms, custodians, counterparties and internal stakeholders Maintenance of strong operational controls, procedures and governance Preparation for, and response to, regulatory and audit requests At senior levels, the role will also involve: Direct interaction with FINRA and ownership of regulatory-facing matters Oversight of US operational activity and supervisory controls Acting as a point of escalation and subject-matter expert for US post-trade operations
Requirements
- Background in securities operations within an investment bank, broker-dealer, prime broker or similar environment
- Exposure to US markets and FINRA-regulated activity
- Experience across settlements, asset servicing and/or collateral
- Strong control mindset and understanding of operational risk
Nice To Haves
- Direct experience dealing with FINRA (exams, requests, ongoing supervision)
- Series 99 qualification (or equivalent operational supervisory experience) is strongly preferred
Responsibilities
- Securities settlements across US markets
- Asset servicing, including corporate actions and income processing
- Collateral and margin operations, including reconciliations and dispute management
- Operating within a US broker-dealer framework and FINRA-regulated environment
- Interaction with clearing firms, custodians, counterparties and internal stakeholders
- Maintenance of strong operational controls, procedures and governance
- Preparation for, and response to, regulatory and audit requests
- Direct interaction with FINRA and ownership of regulatory-facing matters
- Oversight of US operational activity and supervisory controls
- Acting as a point of escalation and subject-matter expert for US post-trade operations
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
