What are the responsibilities and job description for the Operations Control Analyst #37575 position at Contemporary Staffing?
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 :
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 .
Salary : $65,000 - $83,000
