Regulatory Operations Analyst

TEKsystems•Memphis, TN

4d•$38 - $38•Hybrid

About The Position

Must live or work within 50 miles of a home office location. St Petersburg, FL, Memphis, TN, or Southfield, MI This position follows our hybrid schedule – In office days will be 3 per week averaging 12 days per month in applicable Corporate Office. Opportunity for extension or conversion based on attendance/performance Laptop provided 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.

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

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