Mosaic Partners · 6 hours ago
Operations Control & Stock Record Analyst
Jersey City, NJ
Full-time
Hybrid
Entry, Mid Level
2+ years expMosaic Partners is 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 focuses on broker-dealer operations, regulatory compliance, and data governance, with exposure to FINRA automation initiatives and SEC requirements.
Staffing & Recruiting
Hiring Manager
Les Jones
Responsibilities
Support regulatory reporting, stock record integrity, and FINRA data submissions within a broker-dealer environment
Analyze and reconcile complex data sets to ensure accuracy
Work with structured data formats and assist in regulatory compliance initiatives
Qualification
Required
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
Company
Mosaic Partners
Mosaic Partners is a professional recruitment firm providing talent solutions across the Financial Services | Healthcare | Legal | Manufacturing sectors.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase