What are the responsibilities and job description for the Regulatory Operations Analyst position at TEKsystems?
Remote (if Licensed) or Hybrid Schedule within 50 Miles of St. Petersburg, FL, Memphis, TN, or Southfield, MI
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and productivity improvements
to mitigate financial, reputational and regulatory risk. Assists and provides input in the interpretation of new and changing rules and/or
regulations. Works with management to update processes as well as updating departmental procedures with guidance from Supervisor/Manager. Recommends solutions to problems. Contact with internal customers as well as internal auditors as required to research, identify and resolve observations. Assist in the development and coordination of periodic operational performance reports/scorecards including trend analysis and recommended strategies with guidance from Supervisor/Manager.
Essential Duties & Responsibilities
This is a Contract to Hire position based out of Southfield, MI.
Pay And Benefits
The pay range for this position is $37.93 - $37.93/hr.
Requirements
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
This is a fully remote position.
Application Deadline
This position is anticipated to close on Apr 18, 2026.
h4>About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
About TEKsystems And TEKsystems Global Services
We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.
The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and productivity improvements
to mitigate financial, reputational and regulatory risk. Assists and provides input in the interpretation of new and changing rules and/or
regulations. Works with management to update processes as well as updating departmental procedures with guidance from Supervisor/Manager. Recommends solutions to problems. Contact with internal customers as well as internal auditors as required to research, identify and resolve observations. Assist in the development and coordination of periodic operational performance reports/scorecards including trend analysis and recommended strategies with guidance from Supervisor/Manager.
Essential Duties & Responsibilities
- Monitors daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3-3); proactively communicates deficits and any identified issues to the LOBs to reduce firm deficits
- Compiles and reviews regulatory reporting information used for Weekly Reserve and Monthly FOCUS reporting; ensures that reporting information is compliant with applicable industry regulations (e.g. 15c3-3, 15c3-1)
- Monitors operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies/industry regulations; escalate identified issues to Supervisor/Manager and the relevant line of business
- Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance with rules and regulations as well as departmental procedures
- Compiles operational account information for internal and external auditors (e.g. FINRA, SEC) with limited oversight
- Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Analyst in formalizing milestones needed to implement corrective action plans for any identified issues
- Identifies opportunities for operational efficiency and productivity improvements to mitigate financial, reputation and regulatory risk; suggests solutions to Supervisor/Manager
- Assist Manager or Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manner; draft recommendations to mitigate risk
- Assists in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies
- Performs daily and weekly quality review of reconciliation specialist’s work as needed to ensure reconciliations are accurate, complete and that discrepancies have been resolved in a timely manner
- Coordinates/participates in the quarterly examination and verification of physical securities held on premises
- Participates in projects and performs other duties and responsibilities as assigned
- SIE and Series 99
- Minimum 2 years in areas of accounting, banking and/or financial service
- Bachelors Degree in a related field
- Knowledge of Brokerage operations and how functions performed by Operations Control align with business partners
- Financial industry rules, regulations and laws relating to processes performed by Operations Control
- Regulatory terminology, concepts, and guidance
- Brokerage industry and financial markets
- Accounting principles/concepts
- Concepts, practices and procedures for testing operational systems/processes
This is a Contract to Hire position based out of Southfield, MI.
Pay And Benefits
The pay range for this position is $37.93 - $37.93/hr.
Requirements
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
- 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)
This is a fully remote position.
Application Deadline
This position is anticipated to close on Apr 18, 2026.
h4>About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
About TEKsystems And TEKsystems Global Services
We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.
The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
Salary : $38