Registered Regulatory Operations Analyst

_This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at one of our corporate offices in Saint Petersburg, FL, Memphis, TN, or Southfield, MI._ The Regulatory Operations Analyst applies intermediate-level knowledge and practical experience to ensure accurate monitoring of client asset possession and control, completion of regulatory reporting, and adherence to industry and firm rules. In this role, you collaborate closely with management to identify opportunities that enhance operational efficiency, strengthen controls, and reduce financial, reputational, and regulatory risk. You contribute to the interpretation of new and evolving regulations, assist with process enhancements, and support the ongoing development and maintenance of departmental procedures. You proactively recommend solutions to operational challenges and work with internal partners, including auditors, to research, identify, and resolve observations. You also support the development and coordination of periodic operational performance reports and scorecards, providing trend analysis and suggested strategies with guidance from your Supervisor/Manager.

• Essential Duties and Responsibilities
• + Monitors daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3-3); proactively communicates deficits and any identified issues to the LOBs in order to reduce firm deficits + Compiles and reviews regulatory reporting information used for Daily Reserve (Daily as of June 30, 2026) and Monthly FOCUS reporting; ensures that reporting information is compliant with applicable industry regulations (e.

g., 15c3-3, 15c3-1) + Monitors operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies/industry regulations; escalates identified issues to the Supervisor/Manager and the relevant line of business + Assists and provides input in the interpretation of new/changing securities rules, regulations, policies, or laws; updates processes for compliance with rules and regulations as well as departmental procedures + Compiles operational account 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 + Identifies opportunities for operational efficiency and productivity improvements to mitigate financial, reputation, and regulatory risk; suggests solutions to the Supervisor/Manager + 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; communicates any issues to management that require immediate attention in a clear and concise manner; drafts recommendations to mitigate risk + Assists in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies + Participates in projects + Performs other duties and responsibilities as assigned

• Knowledge of
• + Brokerage operations and how functions performed by Operations Control align with business partners + Financial industry rules, regulations, and laws relating to processes performed by Operations Control + Regulatory terminology, concepts, and guidance + Brokerage industry and financial markets + Accounting principles/concepts + Concepts, practices, and procedures for testing operational systems/processes •Skill in•+ Conducting quality control reviews for functions performed within Operations + Creating procedure and business process workflow documentation + Evaluating processes/systems and identifying risks and controls; recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk + Executing training materials/programs + Executing test strategies, methodologies, and analysis + Operating standard office equipment and using required Microsoft Office (Excel, Access, PowerPoint) and other software applications •Ability to•+ Proactively engage, collaborate, and influence business partners in the adoption of identified opportunities to create or enhance a control or process + Support efforts in the evaluation or implementation of a control or process + With minimal guidance, interpret financial/brokerage rules, regulations, and security laws; ensure all industry rules, regulations, and security laws that apply to a process are correctly followed + Manage multiple tasks with changing priorities; meet deadlines in a fast-paced environment with constant interruptions; adapt to a constantly changing environment.

+ Provide a high level of customer service

• Licenses/Certifications
• + SIE required provided that an exemption or grandfathering cannot be applied. + Series 99 or equivalent required prior to starting.

• Travel Required:

• + Yes, 10 % of the Time