What are the responsibilities and job description for the US Securities Operations & Regulatory Oversight position at G MASS?
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
- 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
For senior candidates:
- Direct experience dealing with FINRA (exams, requests, ongoing supervision)
- Series 99 qualification (or equivalent operational supervisory experience) is strongly preferred
Multiple hires across Analyst, Associate, VP and Director levels.
Compensation ranging from c. £59,000 to £196,000, depending on experience and scope.
Initial engagement as a G MASS consultant, with a planned transition to permanent employment with the client.
Salary : $59,000 - $196,000