Regulatory Operations Analyst

Description

*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

**Must have SIE and Series 99**

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.

Key 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

🔹 What You Bring

We’re looking for someone who enjoys problem‑solving, understands financial operations, and thrives in a fast‑moving environment.

Top Skills & Experience

• 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

This is a Contract to Hire position based out of St. Petersburg, FL.

The pay range for this position is $37.93 - $37.93/hr.

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 hybrid position in St. Petersburg,FL.

This position is anticipated to close on Feb 23, 2026.

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.