Regulatory Operations Analyst

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.

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.

• 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

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

• 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 Power Point
• 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 Southfield, MI.

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)

Workplace Type:
This is a fully remote position.

Final date to receive applications:
This position is anticipated to close on Mar 6, 2026.

TEKsystems is an Allegis Group company and a leading provider of business and technology services. We help clients activate ideas and solutions to take advantage of a new world of opportunity. With a team of 80,000 strong, we work with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe, and Asia.

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.