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Analyst/Associate, Business Controls Support Officer

New York, New York

Job Description:

This individual will partner closely with the line of business, COOs and other support functions (e.g., Compliance, Ops Risk) and own the responsibility for creating, enhancing and overseeing the controls and processes that create the framework that makes up the business operating environment. The goal being to ensure the line of business is in compliance with applicable rules, regulations and implementing industry best practices.

Responsibilities:

 

This position is a Business Controls Officer position focused on FICC Sales and trading line of business. The candidate must understand the Fixed Income markets (IE: Credit, Mortgages, Rates, FX) and evolving regulatory framework relating to these markets.  The candidate should have the ability to translate rules/policies into practical control solutions.  Candidate will need to have an understanding of sales and trading businesses, how these desks function, how supervisory obligations are met.  Ideal candidate should have some experience in the Front Office/Middle Office/Controls areas and understand the product as well as the processing aspects of the desk.

 

Required Skills:

  • Relationship management skills and ability to interface confidently with associates of all levels, including senior executives
  • Analyze, determine, drive and build solutions independently and proactively
  • Excellent written and verbal communication skills
  • Translate complex process and business control gaps into risk
  • Identify issues, create and execute control plans
  • Influence at all management levels in a complex organization
  • Align against a strategic priority and organize and deliver results
  • Strong investigative skills to conduct exception reviews
  • Experience and knowledge of compliance related requirements in the above areas of skills

 

Desired Skills:

  • Demonstrates presentation skills
  • Exhibits continuous leadership and assertiveness to drive deliverables
  • Deconstructs technical information in order to translate to non-technical persons
  • Displays strong decision making skills (e.g., appropriate escalations, project direction, etc.)

 

Licenses Required:

  • FINRA Series 7, 63 & 24 (Not a pre-requisite; Exams may be taken while in role

Job Band:

H6

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

This individual will partner closely with the line of business, COOs and other support functions (e.g., Compliance, Ops Risk) and own the responsibility for creating, enhancing and overseeing the controls and processes that create the framework that makes up the business operating environment. The goal being to ensure the line of business is in compliance with applicable rules, regulations and implementing industry best practices.

Responsibilities:

 

This position is a Business Controls Officer position focused on FICC Sales and trading line of business. The candidate must understand the Fixed Income markets (IE: Credit, Mortgages, Rates, FX) and evolving regulatory framework relating to these markets.  The candidate should have the ability to translate rules/policies into practical control solutions.  Candidate will need to have an understanding of sales and trading businesses, how these desks function, how supervisory obligations are met.  Ideal candidate should have some experience in the Front Office/Middle Office/Controls areas and understand the product as well as the processing aspects of the desk.

 

Required Skills:

  • Relationship management skills and ability to interface confidently with associates of all levels, including senior executives
  • Analyze, determine, drive and build solutions independently and proactively
  • Excellent written and verbal communication skills
  • Translate complex process and business control gaps into risk
  • Identify issues, create and execute control plans
  • Influence at all management levels in a complex organization
  • Align against a strategic priority and organize and deliver results
  • Strong investigative skills to conduct exception reviews
  • Experience and knowledge of compliance related requirements in the above areas of skills

 

Desired Skills:

  • Demonstrates presentation skills
  • Exhibits continuous leadership and assertiveness to drive deliverables
  • Deconstructs technical information in order to translate to non-technical persons
  • Displays strong decision making skills (e.g., appropriate escalations, project direction, etc.)

 

Licenses Required:

  • FINRA Series 7, 63 & 24 (Not a pre-requisite; Exams may be taken while in role

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21082726

Band: H6

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Christina Rodgers

Referral Bonus:

0

Street Address

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