Regulatory Operation Specialist

SGS Technologie is looking for Regulatory Operations Analyst for one of our Financial clientRegulatory Operations AnalystW2 ContractRemoteNOTE: Not open for C2C/1099Opportunity for extension or conversion based on attendance, performance, and availability of an FTE openingLaptop providedSpotlight Call- Regulatory Ops Analyst Req Regulatory Analyst role with compliance heavy.risk associated with the type of reporting for which the team is responsible for.reg reports- will review and find out if there are any gaps and filed and submitted to regulators.(They are FINRA BASED/SEC)This Analyst will be the last stop before any reports are submitted finally.trade background, compliance background/Regulatory Background needed.will be Collaborating with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)Should have a financial background to atleast know about the systems.May convert to an FTErequirement- They should have the SIE and should move on to obtain Series 99 within 4 months of hiring.Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.2-3 years of industry exp and atleast 1-2 years of Regulatory experience.The Regulatory Operations Analyst plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies.The team is specifically seeking candidates with relevant experience in Trading or Compliance, as this background provides valuable context for understanding regulatory obligations and operational risk.This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.Responsibilities:• Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)• Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)• Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures• Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight• Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues• Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate riskSkillsKnowledge of:• Non-Financial Regulatory reporting requirements• Financial market impacts• Regulatory terminology, concepts, and guidance• Back Office brokerage operations processes and procedures• Trading life cycle (Orders, Executions, Allocations)• FINRA, SEC and Exchange trading rules, regulations and lawsSkill in:• Creating procedures and business process workflow documentation• Evaluating processes/systems and identifying risks and controls;• Recommending appropriate actions/revisions to resolve gaps or mitigate risk• Microsoft Office (Excel, Access, PowerPoint) and other software applications• Written and Verbal Communication• Operating standard office equipmentAbility to:• Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process• Support efforts in the evaluation or implementation of an existing or new process• Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process• Manage multiple tasks with potential interruptions and changing priorities• Quickly understands complex subject matters• Demonstrate critical thinking in a constantly changing environmentEducationLicenses/Certifications:• SIE required (prior to start), provided that an exemption or grandfathering cannot be applied.• Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.Education: Minimum of High School Diploma or Equivalent RequiredRegards,Fathima NuzhaSenior Technical Recruiter - SGS Technologiefathima@sgstechnologies.netPh: (904) 644 3721