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Sr Business Control Specialist - Client Asset Control Group - Projects & Initiatives

Jacksonville, Florida;

Job Description:

This role resides within the Client Asset Control Group (CACG). CACG is a Global Markets Operations team which provides front-to-back oversight of US Broker Dealers’ customer asset protection regulatory requirements, specifically related to SEA 15c3-3 and CFTC Customer Protection Rules.
The associate in this role will provide technical, analytical, and project support for initiatives and operational issues related to customer protection across multiple US broker dealers. Qualified candidates will be continuous learners, problem solvers, who enjoy challenging the status quo and thrive in a project and regulatory driven environment.

Responsibilities:

•Manages a book of work which can include strategic funded initiatives, regulatory mandates, audit issues, onboarding of new processes, process improvements, and client asset issue remediation.
• Supports the analysis, design, development, testing and implementation of project deliverables under specified timeframes.
• Identifies and collaborates with key stakeholders within CACG, the business, operations, technology, and compliance/legal to understand business requirements, define/execute remediation strategies and deliver sustainable results.
• Manages risk by proactively identifying issues, ensuring the proper risk disciplines are in place and taking action to ensure appropriate resolution.
• Utilizes data tools and techniques to perform data analysis for building tactical and strategic solutions to enable the business while maintaining a stringent regulatory control environment.
• Continually seeks to improve existing process and reporting to increase efficiency and accuracy.
• Delivers clear, concise and effective presentations to senior level leadership.
• Serves as subject matter expert with working knowledge of daily oversight functions and regulatory requirements within the Client Asset Control Group (CACG).
• Serves as a leader across the CACG team, providing direction, technical support and guidance. Additionally, can provide coverage support for daily CACG oversight functions as needed.

Required Qualifications:

• Knowledge of Broker Dealer operations and/or business and basic understanding of customer protection rules
• Project management experience – mid to large scale projects; process automation preferred
• Strong analytical, critical thinking and problem solving skills
• Innovative mindset for deploying new technology and automation
• Strong proficiency with Excel and other MS Office products
• Strong organizational skills – ability to effectively manage multiple priorities and meet deadlines
• Self-motivated – able to work well autonomously and as part of a team
• Results / task oriented with excellent attention to detail and high level of accuracy
• Strong communication/presentation skills including verbal and written
• Risk and control mindset
• Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
• Excels in working among diverse viewpoints to determine the best path forward
• Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
• Commitment to challenging the status quo and promoting positive change.
• Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
• Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world
 

Desired Qualifications:

• Robotics (RPA) or AI
• Experience working with Agile methodology
• Tableau reporting
• Experience with database technologies
• Advanced analytical, mathematical and quantitative skills
 

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

This role resides within the Client Asset Control Group (CACG). CACG is a Global Markets Operations team which provides front-to-back oversight of US Broker Dealers’ customer asset protection regulatory requirements, specifically related to SEA 15c3-3 and CFTC Customer Protection Rules.
The associate in this role will provide technical, analytical, and project support for initiatives and operational issues related to customer protection across multiple US broker dealers. Qualified candidates will be continuous learners, problem solvers, who enjoy challenging the status quo and thrive in a project and regulatory driven environment.

Responsibilities:

•Manages a book of work which can include strategic funded initiatives, regulatory mandates, audit issues, onboarding of new processes, process improvements, and client asset issue remediation.
• Supports the analysis, design, development, testing and implementation of project deliverables under specified timeframes.
• Identifies and collaborates with key stakeholders within CACG, the business, operations, technology, and compliance/legal to understand business requirements, define/execute remediation strategies and deliver sustainable results.
• Manages risk by proactively identifying issues, ensuring the proper risk disciplines are in place and taking action to ensure appropriate resolution.
• Utilizes data tools and techniques to perform data analysis for building tactical and strategic solutions to enable the business while maintaining a stringent regulatory control environment.
• Continually seeks to improve existing process and reporting to increase efficiency and accuracy.
• Delivers clear, concise and effective presentations to senior level leadership.
• Serves as subject matter expert with working knowledge of daily oversight functions and regulatory requirements within the Client Asset Control Group (CACG).
• Serves as a leader across the CACG team, providing direction, technical support and guidance. Additionally, can provide coverage support for daily CACG oversight functions as needed.

Required Qualifications:

• Knowledge of Broker Dealer operations and/or business and basic understanding of customer protection rules
• Project management experience – mid to large scale projects; process automation preferred
• Strong analytical, critical thinking and problem solving skills
• Innovative mindset for deploying new technology and automation
• Strong proficiency with Excel and other MS Office products
• Strong organizational skills – ability to effectively manage multiple priorities and meet deadlines
• Self-motivated – able to work well autonomously and as part of a team
• Results / task oriented with excellent attention to detail and high level of accuracy
• Strong communication/presentation skills including verbal and written
• Risk and control mindset
• Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
• Excels in working among diverse viewpoints to determine the best path forward
• Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
• Commitment to challenging the status quo and promoting positive change.
• Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
• Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world
 

Desired Qualifications:

• Robotics (RPA) or AI
• Experience working with Agile methodology
• Tableau reporting
• Experience with database technologies
• Advanced analytical, mathematical and quantitative skills
 

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21022230

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Kimberly Ravlich

Referral Bonus:

0