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Equities Compliance and Operational Risk - Program Exection Specialist

New York, New York

Job Description:

The Compliance and Operational Risk (“C&OR”) Specialist assists the C&OR officer team in activities to contribute to the independent compliance and operational risk oversight of Front Line Unit or Control Function (“FLU/CF”) performance and any related third party/vendor relationships in alignment with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs).

The C&OR Specialist assists in engaging other C&OR officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The C&OR Specialist assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.
 

The Equities Compliance and Operational Risk – Program Execution Specialist contributes to the independent compliance and operational risk oversight of the Equities business in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy and the Compliance and Operational Risk Management (CORM) Program and Standard Operating Procedures (SOPs). As a member of the Equities COR team, this role applies business acumen to promote a culture of risk management and the identification, escalation and timely mitigation of compliance and operational risks by assisting the Equities COR team. Responsibilities will include:


• Implement and lead Quality Assurance (QA) and Quality Control (QC) routines for Equities COR in support of the SOPs and CORM program.
• Lead the GCOR review and analysis of the Equities Operational Excellence workstreams.
• Coordinate cross-team projects and deliverables and perform in-line QA and QC reviews.
• Review cross-team program elements, including monitoring and testing, surveillance, reporting, policies, among other areas, to ensure consistency and adherence to the SOPs and CORM program.
• Identify issues and/or control enhancements for remediation while assisting the Equities COR team in building out action plans and remediation steps.
• Draft and prepare Equities COR reporting, presentations, and governance materials for the Equities business, senior management, and regulators.
• Prepare background information, materials, and lead prep sessions with senior management in advance of regulatory meetings and other routines, as necessary.
• Attend and participate in meetings with the Equities business and controls partners, as necessary.
• Coordinate and track deliverables and responses for upcoming regulatory deadlines. Coordinate and lead review sessions with Equities COR and Equities businesses, as necessary.
• Assist Equities COR with other deliverables, including issues management, training, conflicts, horizon risk, and conduct-related matters.
• Manage ad hoc strategic projects and initiatives and provide project management support for Equities COR.
 

Required/Desired:

• Bachelor’s degree;
• 4-5+ years of general broker-dealer legal/regulatory/compliance experience;
• Ability to work effectively in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
• Strong strategic, problem solving, and analytical skills;
• People skills, leadership qualities, and communication skills;
• Motivation, diligence, and excellent writing skills;
• Excellent organizational skills;
• Attention to detail;
• Ability to work on multiple projects in a fast paced environment;
• Legal degree a plus but not required; and
• Regulatory experience a plus but not required.

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Compliance and Operational Risk (“C&OR”) Specialist assists the C&OR officer team in activities to contribute to the independent compliance and operational risk oversight of Front Line Unit or Control Function (“FLU/CF”) performance and any related third party/vendor relationships in alignment with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs).

The C&OR Specialist assists in engaging other C&OR officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The C&OR Specialist assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.
 

The Equities Compliance and Operational Risk – Program Execution Specialist contributes to the independent compliance and operational risk oversight of the Equities business in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy and the Compliance and Operational Risk Management (CORM) Program and Standard Operating Procedures (SOPs). As a member of the Equities COR team, this role applies business acumen to promote a culture of risk management and the identification, escalation and timely mitigation of compliance and operational risks by assisting the Equities COR team. Responsibilities will include:


• Implement and lead Quality Assurance (QA) and Quality Control (QC) routines for Equities COR in support of the SOPs and CORM program.
• Lead the GCOR review and analysis of the Equities Operational Excellence workstreams.
• Coordinate cross-team projects and deliverables and perform in-line QA and QC reviews.
• Review cross-team program elements, including monitoring and testing, surveillance, reporting, policies, among other areas, to ensure consistency and adherence to the SOPs and CORM program.
• Identify issues and/or control enhancements for remediation while assisting the Equities COR team in building out action plans and remediation steps.
• Draft and prepare Equities COR reporting, presentations, and governance materials for the Equities business, senior management, and regulators.
• Prepare background information, materials, and lead prep sessions with senior management in advance of regulatory meetings and other routines, as necessary.
• Attend and participate in meetings with the Equities business and controls partners, as necessary.
• Coordinate and track deliverables and responses for upcoming regulatory deadlines. Coordinate and lead review sessions with Equities COR and Equities businesses, as necessary.
• Assist Equities COR with other deliverables, including issues management, training, conflicts, horizon risk, and conduct-related matters.
• Manage ad hoc strategic projects and initiatives and provide project management support for Equities COR.
 

Required/Desired:

• Bachelor’s degree;
• 4-5+ years of general broker-dealer legal/regulatory/compliance experience;
• Ability to work effectively in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
• Strong strategic, problem solving, and analytical skills;
• People skills, leadership qualities, and communication skills;
• Motivation, diligence, and excellent writing skills;
• Excellent organizational skills;
• Attention to detail;
• Ability to work on multiple projects in a fast paced environment;
• Legal degree a plus but not required; and
• Regulatory experience a plus but not required.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21052460

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Alexander Watkins

Referral Bonus:

0

Street Address

Primary Location:
ONE BRYANT PARK, NY, New York, 10036