US Securities Operations – Regulatory Oversight
G MASS Consulting
full-time
Posted on:
Location Type: Hybrid
Location: Dallas • Texas • United States
Visit company websiteExplore more
Salary
💰 £59,000 - £196,000 per year
About the role
- Join as G MASS consultants with the intention to convert to permanent employees
- Securities settlements across US markets
- Asset servicing, including corporate actions and income processing
- Collateral and margin operations, including reconciliations and dispute management
- Operating within a US broker-dealer framework and FINRA-regulated environment
- Interaction with clearing firms, custodians, counterparties and internal stakeholders
- Maintenance of strong operational controls, procedures and governance
- Preparation for, and response to, regulatory and audit requests
- At senior levels, direct interaction with FINRA and ownership of regulatory-facing matters
- Oversight of US operational activity and supervisory controls
- Acting as a point of escalation and subject-matter expert for US post-trade operations
Requirements
- Background in securities operations within an investment bank, broker-dealer, prime broker or similar environment
- Exposure to US markets and FINRA-regulated activity
- Experience across settlements, asset servicing and/or collateral
- Strong control mindset and understanding of operational risk
- For senior candidates:
- Direct experience dealing with FINRA (exams, requests, ongoing supervision)
- Series 99 qualification (or equivalent operational supervisory experience) is strongly preferred
Benefits
- Multiple hires across Analyst, Associate, VP and Director levels.
- Initial engagement as a G MASS consultant, with a planned transition to permanent employment with the client.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
securities settlementsasset servicingcollateral operationsmargin operationsreconciliationsdispute managementoperational controlsregulatory complianceaudit preparationsupervisory controls
Soft skills
strong control mindsetoperational risk understandinginterpersonal communicationstakeholder interactionsubject-matter expertiseescalation management
Certifications
Series 99 qualification