Overview
On Site
USD 70.00 - 85.00 per hour
Full Time
Skills
Trading
Sales Operations
SEC
Management
Regulatory Reporting
Risk Management
Banking
Regulatory Compliance
FOCUS
Risk Assessment
Financial Services
Microsoft Exchange
.NET
Securities
Business Intelligence
Retail
Auditing
Testing
Project Management
Writing
Documentation
Technical Drafting
Taxes
Life Insurance
Jersey
Collaboration
Partnership
Business Transformation
Law
Job Details
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
Top Skills Details
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
Experience Level
Expert Level
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 Jersey City,NJ.
Application Deadline
This position is anticipated to close on Jul 15, 2025.
>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.
- 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
Top Skills Details
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
Experience Level
Expert Level
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 Jersey City,NJ.
Application Deadline
This position is anticipated to close on Jul 15, 2025.
>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.
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.