Operations Control & Stock Record Analyst

Seeking an Operations Control & Stock Record Analyst to support regulatory reporting, stock record integrity, and FINRA data submissions within a broker-dealer environment. This role sits at the intersection of broker-dealer operations, regulatory compliance, and data governance, with direct exposure to FINRA automation initiatives and SEC Rule 15c3-3 requirements.

If you enjoy clean data, balanced records, and not being the reason an examiner starts sharpening pencils, this is your lane.

QUALIFICATIONS

• 2–5 years of experience in Broker-Dealer Operations, Operations Control, or Stock Record functions
• Strong understanding of SEC Rule 15c3-3, stock record requirements, and regulatory reporting standards
• Experience supporting FINRA reporting, regulatory data submissions, or examination readiness
• Exceptional attention to detail with the ability to analyze and reconcile complex data sets
• Comfort working with structured data formats (XML exposure strongly preferred)
• Bachelor’s degree in Finance, Accounting, Business, or a related field
• Prior experience at a carrying or clearing broker-dealer
• Familiarity with FINRA automation projects or large-scale regulatory data initiatives
• Exposure to clearing systems, custody platforms, stock loan, or margin environments
• Advanced Excel skills; SQL or other data-analysis tools are a plus

This role will sit HYBRID out of Jersey City, NJ