Job Description

*Description*
- Conduct comprehensive Risk and Control Self-Assessments (RCSA) across broker-dealer operations, including trading, sales, operations, and support functions.
- Identify key compliance risks, evaluate control effectiveness, and ensure alignment with FINRA, SEC, and Federal Reserve regulatory expectations.
- Apply Federal Reserve regulations such as Reg W and Reg D within the broker-dealer context, particularly in areas like intercompany transactions, liquidity management, and capital exposure.
- Design and implement compliance frameworks tailored to broker-dealer activities, including policies, procedures, control testing, and regulatory reporting.
- Align compliance efforts with enterprise risk management standards and ensure integration across business lines.
- Collaborate with legal, compliance, and business teams to ensure regulatory alignment and operational consistency.
- Serve as a liaison with regulators, auditors, and internal stakeholders during reviews, exams, and audits.
- Bring over 10 years of specialized experience in broker-dealer and banking compliance, with a strong focus on regulatory risk assessments and institutional financial services.
- Regs Focused on: Securities Exchange Act of 1934, FINRA Rule 3110, Rule 15c3-1 (Net Capital Rule): Requires broker-dealers to maintain minimum net capital. Rule 15c3-3 (Customer Protection Rule): Protects customer funds and securities.
Rule 17a-3 and 17a-4: Recordkeeping and retention requirements.
Regulation Best Interest (Reg BI): Requires broker-dealers to act in the best interest of retail customers when making recommendation
*Skills*
RCSA, Broker Dealer
*Additional Skills & Qualifications*
- Experience supporting or conducting internal audits and control testing
- Strong project management capabilities, including leading RCSA refresh cycles or remediation efforts
- Excellent writing and documentation skills for drafting risk narratives, control descriptions, and regulatory responses
*Pay and Benefits*
The pay range for this position is $70.00 - $85.00/hr.
Eligibility requirements apply to some benefits and may depend on your job
classification and length of employment. Benefits are subject to change and may be
subject to specific elections, plan, or program terms. If eligible, the benefits
available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a hybrid position in New York,NY.
*Application Deadline*
This position is anticipated to close on Aug 28, 2025.
h4> About TEKsystems:

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services


We're a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We're strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We're building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

Job Tags

Temporary work,

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