Customer asset protection (ideally 15c3-3) subject matter expert with at least 3 years’ experience in current role. Analyzes and resolves complex operational problems. Key member of the Client Asset Control Group oversight function to ensure compliance with Customer Asset Protection requirements, proactively identifying risks both across the organization and provides technical support to other functional and business support lines. Knows front to back process/system flow. Strong market and regulatory knowledge. Acts as a lead on multiple projects/initiatives on behalf of the team to drives process improvements and acts as a ‘Go-To’ person for Customer Asset Protection for other teams. Performing some routine management support (interviewing, training & support for team members). Develops and delivers training for the team. Understands stakeholder needs, escalates issues timely and appropriately.
- Strong knowledge of 15c3-3 or CFTC customer protection rules, with experience of performing oversight of broker/dealer processes and controls.
- Experience in regulatory oversight / risk management.
- Understanding of Broker/Dealer business lines, including Prime Brokerage, Futures and Options, Equities / FICC institutional business lines
- Experience in project management and managing process / technology change
- Excellent written and verbal communication skills essential
- Strong at influencing change with stakeholders.
Posting Date: 02/01/2018
Location: Jacksonville, FL, JACKSONVILLE 3, 4804 DEER LAKE DR E, New York, NY, BANK OF AMERICA TOWER, ONE BRYANT PARK, - United States
Travel: Yes, 5% of the time