New

Regulatory Operations Specialist (SIE & Series 99 License Required)

TEKsystems
$37.93 / hr
life insurance, sick time, 401(k), retirement plan
United States, Tennessee, Memphis
Feb 20, 2026
Reulatory Operations Specialist (SIE & Series 99 License Required) Pay Rate: $37.93/hr Duration: 6month contract-to-hire Work Schedule: Hybrid, 3 days onsite Locations: Southfield, MI * St. Petersburg, FL * Memphis, TN (must live within 50 miles) MustHave Qualifications Bachelor's degree in a related field 2+ years of experience in accounting, banking, or financial services Required licenses: SIE + Series 99 Knowledge of brokerage operations, financial markets, and SEC/FINRA rules Strong analytical and problemsolving skills Experience reviewing processes, identifying risks, and recommending improvements Ability to write/update procedures, support audits, and perform testing Intermediate Excel, Access, and PowerPoint skills Strong communication and teamwork skills Able to manage time well and handle shifting priorities Key Responsibilities Ensure daily compliance with SEC Customer Protection Rule (possession & control) Support weekly/monthly regulatory reports (Reserve Formula, FOCUS) Review suspense, clearing, and dealer accounts for issues Help interpret new regulations and update procedures Provide documentation for internal/external audits Test controls and support remediation when issues occur Review reconciliations for accuracy and timely resolution Contribute to monthly scorecards and trend analysis Participate in quarterly physical securities verification Work with operations teams to improve processes and controls Role Summary This role ensures client assets are properly controlled and regulatory reports are completed accurately. You'll help maintain compliance with industry rules, identify process improvements, support audits, and assist with updating procedures. The work is independent but includes collaboration with management, auditors, and various internal teams. Job Type & LocationThis is a Contract to Hire position based out of Memphis, TN. Pay and BenefitsThe pay range for this position is $37.93 - $37.93/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 TypeThis is a hybrid position in Memphis,TN. Application DeadlineThis position is anticipated to close on Feb 27, 2026. 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.