A leading global financial services organization is seeking an experienced
Securities Operations & Regulatory Controls Specialist to support critical reconciliation, regulatory reporting, and operational control activities within its securities business.
This position plays an important role in maintaining the accuracy and integrity of the firm's books and records, ensuring compliance with applicable regulatory requirements, and strengthening operational risk management practices.
The successful candidate will bring hands-on experience in securities operations, financial reconciliations, and broker-dealer regulatory controls. Working closely with trading desks, Operations, Finance, Compliance, and other internal stakeholders, this individual will be responsible for executing daily control processes, resolving discrepancies, supporting regulatory obligations, and contributing to ongoing operational improvements.
Key ResponsibilitiesSecurities Reconciliations & Operational Controls- Perform and oversee daily, monthly, quarterly, and annual reconciliations to ensure the accuracy and completeness of securities-related books and records.
- Manage cash, securities position, trial balance, and stock record reconciliations, identifying discrepancies and ensuring timely resolution.
- Execute quantitative and qualitative control reviews to validate the accuracy of operational and financial information.
- Monitor exceptions, investigate reconciliation breaks, and coordinate remediation with relevant business and operations teams.
- Maintain appropriate documentation, supporting evidence, and reporting to demonstrate the effectiveness of established controls.
- Review account designations, trade confirmations, and client statements to ensure accuracy and adherence to applicable requirements.
Regulatory Compliance & Risk Management- Support broker-dealer regulatory obligations, including FINRA extension processing and required collateral information submissions.
- Ensure operational activities comply with applicable SEC and FINRA regulations, internal policies, and established control frameworks.
- Identify potential operational and regulatory risks, escalating material issues and supporting corrective actions.
- Assist with internal and external audits, regulatory examinations, and compliance reviews by preparing documentation and addressing inquiries.
- Participate in the development and enhancement of control procedures designed to strengthen regulatory compliance and operational integrity.
Business Partnership & Process Improvement- Partner with trading desks, Finance, Compliance, Technology, and Operations teams to resolve issues and maintain effective operational processes.
- Serve as a subject matter resource on securities reconciliations, books and records, and regulatory control requirements.
- Support new business initiatives, system implementations, and process enhancements by providing operational expertise and participating in testing and implementation activities.
- Identify opportunities to automate manual reconciliations, improve exception management, and enhance reporting accuracy.
- Contribute to the development of operating procedures, control documentation, and best practices across the securities operations function.
Team Collaboration & Operational Excellence- Support a collaborative, high-performance environment focused on accuracy, accountability, and continuous improvement.
- Share technical knowledge and best practices with colleagues, providing guidance on complex reconciliation and control matters.
- Demonstrate strong ownership of assigned responsibilities and proactively address operational challenges.
- Maintain effective working relationships with internal stakeholders and external service providers.
Required Qualifications- Experience in securities operations, broker-dealer operations, regulatory controls, or financial reconciliations within an investment bank, broker-dealer, or financial services institution.
- Strong understanding of cash, position, trial balance, and stock record reconciliations.
- Knowledge of broker-dealer books and records requirements and applicable SEC and FINRA regulations.
- Familiarity with FINRA extension processing, collateral reporting, and related regulatory obligations.
- Experience investigating reconciliation discrepancies, resolving operational exceptions, and maintaining effective control processes.
- Understanding of securities products, trade processing, clearing, and settlement activities.
- Experience supporting internal audits, regulatory examinations, and operational risk reviews.
- Strong analytical and problem-solving skills, with exceptional attention to detail.
- Ability to work effectively with trading desks, Finance, Compliance, Technology, and other operations functions.
- Strong written and verbal communication skills, with the ability to explain complex operational issues and present findings clearly.
- Proficiency in Microsoft Excel and familiarity with securities processing, reconciliation, and reporting systems.
- Ability to manage multiple priorities and meet regulatory and operational deadlines in a fast-paced environment.
- Bachelor's degree in Finance, Accounting, Business, Economics, or a related discipline preferred.
