Job Description

Job Locations: New York, NY, 10036/Charlotte, NC, 28202/Jacksonville, FL, 32246

Needs someone with 3 or more years of of experience. Would really prefer someone with 10+.

SEA Rule 15c3-3 required!

As an individual contributor, you will serve as a subject matter expert (SME) and liaison between front office and operations partners, addressing firm-specific inquiries on custody treatment, processing flows, and new business proposals under US broker dealer regulatory guidelines, with a specific emphasis on SEA Rule 15c3-3: Possession or Control. This role will actively support large-scale change initiatives.


  • Evaluate and enhance the risk and control environment to support Global Data and Reporting Operations, ensuring alignment with enterprise-wide standards.
  • Conduct monitoring and testing of controls, identifying issues and proposing improvements for remediation.
  • Implement optimized controls and enhanced Quality Assurance (QA) practices to bolster business continuity efforts.
  • Coordinate quality inspection reviews to elevate employee performance and control effectiveness.
  • Execute QA activities, including control execution, case management, and result reporting.
  • Identify areas for potential testing automation, procedural updates, thematic trends, and coaching opportunities to enhance the success of the QA program.
  • Assist in managing regulatory exams, internal audits, and other monitoring activities, providing necessary research and data evaluation for governance and reporting purposes.
  • Collaborate with Possession or Control and Regulatory Reporting teams to ensure compliance with system requirements.
  • Liaise with front office teams regarding new product designs impacting client segmentation and rehypothecation processes.
  • Offer audit support and guidance during internal and external reviews of segregation processes.
  • Provide internal process training to key stakeholders and infrastructure teams.


  • Previous experience in Controls Management, particularly with DTC settlement and the Customer Protection Rule/SEA Rule 15c3-3.
  • Proficiency in Issue Management, Monitoring, Surveillance, and Testing.
  • 5+ years of experience in US Broker Dealer operations, front office, or related regulatory/compliance roles.
  • Working knowledge of equities clearing, broker dealer operations, and Securities and Exchange Act Regulations.
  • Strong analytical, critical thinking, and problem-solving skills.
  • Self-motivated with the ability to work independently and escalate issues when necessary.
  • Excellent written and verbal communication skills, with the ability to confidently engage with senior stakeholders and lead meetings.
  • Effective recording and organizing of information.
  • Ability to make informed decisions, innovate, and challenge existing processes.
  • Strong prioritization and research abilities.

Other Qualifications:

  • Demonstrated ability to introduce new ideas and drive innovation within teams.
  • Comfortable working with diverse viewpoints to determine optimal solutions.
  • Experience in engaging with a diverse client base to anticipate future business needs.
  • Committed to challenging the status quo and fostering positive change.
  • Actively participates in collaborative efforts to advance tools, technology, and work methodologies to better serve evolving client requirements.
  • Values diversity and champions inclusivity to meet the varied needs of clients and employees worldwide.

Apply Now

Job #:
Position Type:
New York, NY
Pay Rate:
$50.00 - $51.50/Hour

Apply Now