Operations Control Analyst #37575
Accounting Finance Philadelphia, PA
Direct Hire Jan 28, 2025
Accounting Finance
Job Title: Operations Control Analyst
Job Overview:
We are seeking a detail-oriented and analytical Operations Control Analyst to join our team and ensure compliance with regulatory requirements while optimizing operational processes. Based in Philadelphia, PA, this hybrid role requires in-office collaboration three days per week (Tuesday–Thursday) and focuses on monitoring securities compliance, reporting, and improving workflow efficiency. The ideal candidate will bring a proactive approach to compliance, reconciliation, and process improvement while collaborating across departments such as Risk, Compliance, and Auditing.
Compensation:
$65,000–$83,000/year, based on experience and qualifications.
Key Responsibilities of the Operations Control Analyst:
Qualifications and Skills for the Operations Control Analyst:
Work Schedule:
Monday–Friday, 8:00 AM–4:00 PM or 9:00 AM–5:00 PM.
Why Join Us?
As an Operations Control Analyst, you’ll play a critical role in ensuring regulatory compliance and supporting process efficiency within a dynamic financial services environment. This hybrid role offers the chance to develop your expertise in regulatory operations, risk management, and securities compliance while working collaboratively across departments. The position provides a unique opportunity to make meaningful contributions to operational improvements and gain exposure to industry-leading practices.
About Us:
Contemporary Staffing Solutions (CSS) is a trusted leader in providing contract, temporary, temp-to-hire, and direct hire staffing solutions. With decades of experience, we’ve grown from a staffing agency to a nationwide provider of workforce management solutions. Our niche recruitment expertise spans Accounting & Finance, Call Center & Office Support, Human Resources, Sales & Marketing, and Information Technology.
Explore more about CSS and how we connect great talent with exceptional opportunities by visiting www.ContemporaryStaffing.com.
Job Overview:
We are seeking a detail-oriented and analytical Operations Control Analyst to join our team and ensure compliance with regulatory requirements while optimizing operational processes. Based in Philadelphia, PA, this hybrid role requires in-office collaboration three days per week (Tuesday–Thursday) and focuses on monitoring securities compliance, reporting, and improving workflow efficiency. The ideal candidate will bring a proactive approach to compliance, reconciliation, and process improvement while collaborating across departments such as Risk, Compliance, and Auditing.
Compensation:
$65,000–$83,000/year, based on experience and qualifications.
Key Responsibilities of the Operations Control Analyst:
- Monitor daily securities possession and control requirements to ensure compliance with SEA Rule 15c3-3 (Customer Protection) and communicate identified deficits to the appropriate teams.
- Oversee the firm’s Fully Paid Lending program, including routine control checks and reporting.
- Assist with interpreting and implementing new or updated securities regulations, ensuring compliance with policies and legal requirements.
- Compile operational data for internal and external audits, including FINRA and SEC reviews.
- Manage unclaimed property processes, ensuring timely due diligence and escheatment of lost or inactive client accounts.
- Conduct daily review and distribution of break reports while supporting automation efforts for operational processes.
- Collaborate with Compliance, Risk, and Audit teams to enhance operational efficiency and mitigate risks.
- Participate in regulatory working groups to remain updated on relevant industry developments.
Qualifications and Skills for the Operations Control Analyst:
- Bachelor’s degree in business, finance, or a related field.
- Minimum of 2 years’ experience in brokerage operations, financial services, or accounting.
- Familiarity with SEA Rule 15c3-3 is required. Knowledge of SEA Rule 17a-13 (Quarterly Securities Count), FINRA Rule 4560 (Short Interest Reporting), and escheatment processes is a plus.
- Proficiency in reconciliation tasks and advanced Excel skills.
- Strong analytical and problem-solving skills, with an eye for process improvements.
- Ability to communicate effectively with senior leadership and team members.
- Proactive, inquisitive, and solutions-focused, with the ability to manage up and engage in process improvements.
- FINRA Series 7 license is required (or must be obtained within 180 days of hire, with training and sponsorship provided).
Work Schedule:
Monday–Friday, 8:00 AM–4:00 PM or 9:00 AM–5:00 PM.
Why Join Us?
As an Operations Control Analyst, you’ll play a critical role in ensuring regulatory compliance and supporting process efficiency within a dynamic financial services environment. This hybrid role offers the chance to develop your expertise in regulatory operations, risk management, and securities compliance while working collaboratively across departments. The position provides a unique opportunity to make meaningful contributions to operational improvements and gain exposure to industry-leading practices.
About Us:
Contemporary Staffing Solutions (CSS) is a trusted leader in providing contract, temporary, temp-to-hire, and direct hire staffing solutions. With decades of experience, we’ve grown from a staffing agency to a nationwide provider of workforce management solutions. Our niche recruitment expertise spans Accounting & Finance, Call Center & Office Support, Human Resources, Sales & Marketing, and Information Technology.
Explore more about CSS and how we connect great talent with exceptional opportunities by visiting www.ContemporaryStaffing.com.