New

Regulatory Operations Analyst

TEKsystems
$37.93 / hr
life insurance, sick time, 401(k), retirement plan
United States, Florida, St. Petersburg
Apr 16, 2026
Description Under minimal supervision, this role applies intermediatelevel knowledge and experience to support the monitoring and control of client assets, complete required regulatory reporting, and help ensure the firm remains compliant with industry and internal rules and regulations. The role partners closely with management to identify opportunities to improve operational efficiency and productivity while mitigating financial, reputational, and regulatory risk. The individual contributes to the interpretation of new and evolving regulations, assists with process updates, and helps maintain accurate departmental procedures. Regular interaction with internal business partners and auditors is required to research, identify, and resolve findings. The role also supports the development of operational reporting, trend analysis, and performance scorecards. Key Responsibilities * Monitor daily securities possession and control requirements to ensure compliance with the Customer Protection Rule (SEC Rule 15c33), proactively communicating deficits or issues to lines of business to minimize firm exposure * Compile and review regulatory reporting data for Weekly Reserve and Monthly FOCUS reports, ensuring accuracy and compliance with applicable regulations (e.g., SEC Rules 15c33 and 15c31) * Monitor operational suspense, clearance, inventory, and dealer accounts to ensure compliance with firm accounting policies and regulatory requirements; escalate issues to management and relevant stakeholders as needed * Assist in interpreting new or changing securities rules, regulations, policies, and laws; support updates to processes and departmental procedures to maintain compliance * Compile and provide operational account data for internal and external audits (e.g., FINRA, SEC) with limited supervision * Plan and execute remediation efforts for identified issues, assisting management in defining milestones and corrective action plans * Identify opportunities for operational efficiency and risk reduction; recommend solutions to management * Support the design, planning, and execution of testing strategies; under supervision, may lead testing efforts for other analysts and communicate issues requiring immediate management attention * Assist in developing and coordinating periodic operational performance reports and scorecards, including trend analysis and recommendations * Perform daily and weekly quality reviews of reconciliation activities, ensuring accuracy, completeness, and timely resolution of discrepancies * Coordinate and participate in quarterly examinations and verification of physical securities held on premises * Participate in projects and perform additional duties as assigned MUST HAVES: * 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 Job Type & Location This is a Contract to Hire position based out of St. Petersburg, FL. Pay and BenefitsThe 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) Workplace TypeThis is a fully remote position. Application DeadlineThis position is anticipated to close on Apr 30, 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.