US Securities Operations & Regulatory Oversight

G MASS Consulting are supporting a global investment bank with the build-out of a US-facing securities operations and regulatory oversight capability. This is a multi-hire programme spanning junior through senior levels, focused on post-trade operations within a FINRA-regulated environment.

Successful candidates will initially join as G MASS consultants, with the clear intention to convert to permanent employees with the client as the function becomes embedded.

Depending on level, responsibilities will include a combination of:

• 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, the role will also involve:

• 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.

Compensation ranging from c. £59,000 to £196,000, depending on experience and scope.

Initial engagement as a G MASS consultant, with a planned transition to permanent employment with the client.