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Ops Professional MKTS - GOSO Regulatory Reporting - Charlotte, NC

Charlotte, North Carolina

Job Description:

LOB Specific Description:

This position will support the Regulatory Processes & Reporting Team. The associate in this role will be responsible for operations broker dealer and bank regulatory reporting requirements. The associate will liaise with Finance and Operations associates to research exceptions and analyze operational data for compliance with applicable industry rules. The associate in this role may have oversight for the offshore functions aligned with the Regulatory Reporting team. This role will be cross trained on and provide back up support on reporting functions performed by the team, including but not limited to TIC Reporting, FINRA INSITE Reporting, and FOCUS Reporting. Associate may spend up to 20% of their time working on regulatory initiatives. Associate will be expected to perform ongoing evaluations, quality assurance, and process testing and control improvements to regulatory reporting processes.

Responsibilities:

  • Cross Train and Backup assigned functions within the process.
  • Escalate issues to management/risk as necessary.
  • Participate in tactical and strategic initiatives related to assigned Regulatory Reporting.

Enterprise Role Overview:

Provides technical and analytical support in a global markets operations function for one or more operations product areas. Responsible for the analysis and resolution of complex operations problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. May manage projects and/or the introduction of new initiatives, systems, products/services and processes, coordinating necessary expertise across multiple operations functions and/or products. As a technical expert, may also function as an informal team lead, providing work direction and technical guidance to less experienced employees in resolving complex transactions and operational problems. Requires extensive experience in an operations support function with thorough working knowledge of fundamental business structure and operational aspects for specific transactions and products. As a technical expert, will consult on a wide variety of topics across functional and business support lines. To be used for employees in Global Markets only.

Required Skills: (Must have these skills to be minimally qualified)

  • 3-5 years brokerage operations experience, preferably in a regulatory or control department.
  • Working knowledge of stock record and/or broker dealer books and records concepts.
  • Intermediate-level Excel knowledge.
  • Detail orientation.
  • Ability to manage multiple priorities and multi task.
  • Excellent time management and prioritization skills, with ability to meet tight deadlines.
  • Ability and willingness to continuously learn on the job.
  • Ability to problem-solve and take ownership of process improvements.
  • Able to work in a team environment.
  • Excellent verbal and written communication skills with ability to communicate with various stakeholders.

Other Qualifications:

  • 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.

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

LOB Specific Description:

This position will support the Regulatory Processes & Reporting Team. The associate in this role will be responsible for operations broker dealer and bank regulatory reporting requirements. The associate will liaise with Finance and Operations associates to research exceptions and analyze operational data for compliance with applicable industry rules. The associate in this role may have oversight for the offshore functions aligned with the Regulatory Reporting team. This role will be cross trained on and provide back up support on reporting functions performed by the team, including but not limited to TIC Reporting, FINRA INSITE Reporting, and FOCUS Reporting. Associate may spend up to 20% of their time working on regulatory initiatives. Associate will be expected to perform ongoing evaluations, quality assurance, and process testing and control improvements to regulatory reporting processes.

Responsibilities:

  • Cross Train and Backup assigned functions within the process.
  • Escalate issues to management/risk as necessary.
  • Participate in tactical and strategic initiatives related to assigned Regulatory Reporting.

Enterprise Role Overview:

Provides technical and analytical support in a global markets operations function for one or more operations product areas. Responsible for the analysis and resolution of complex operations problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. May manage projects and/or the introduction of new initiatives, systems, products/services and processes, coordinating necessary expertise across multiple operations functions and/or products. As a technical expert, may also function as an informal team lead, providing work direction and technical guidance to less experienced employees in resolving complex transactions and operational problems. Requires extensive experience in an operations support function with thorough working knowledge of fundamental business structure and operational aspects for specific transactions and products. As a technical expert, will consult on a wide variety of topics across functional and business support lines. To be used for employees in Global Markets only.

Required Skills: (Must have these skills to be minimally qualified)

  • 3-5 years brokerage operations experience, preferably in a regulatory or control department.
  • Working knowledge of stock record and/or broker dealer books and records concepts.
  • Intermediate-level Excel knowledge.
  • Detail orientation.
  • Ability to manage multiple priorities and multi task.
  • Excellent time management and prioritization skills, with ability to meet tight deadlines.
  • Ability and willingness to continuously learn on the job.
  • Ability to problem-solve and take ownership of process improvements.
  • Able to work in a team environment.
  • Excellent verbal and written communication skills with ability to communicate with various stakeholders.

Other Qualifications:

  • 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.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21042562

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Viviana Renshaw

Referral Bonus:

0

Street Address

Primary Location:
200 N College St, NC, Charlotte, 28255