SEC Compliance & Corporate Governance Specialist assisting with regulatory processes at WD - 40 Company. Collaborating with Legal, Finance, and Leadership teams for SEC filings and corporate records.
About the role
- Securities Operations Consultant working within FINRA-regulated environment at a global investment bank. Handling settlements, asset servicing, and operational controls in Texas.
Responsibilities
- 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.
Job title
Job type
Experience level
Salary
Degree requirement
No Education Requirement
Location requirements
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