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Business Control Specialist

Jacksonville, Florida

Job Description:

Job Description:

Responsible for ensuring Firm compliance with the SEA 15c3-3 Customer Protection Rule.  The role requires the incumbent to develop quality relationships with key business partners in order to ensure that Firm deficits are resolved in a timely manner and that applicable actions are taken within regulatory requirements.

Responsibilities:

- Monitoring and analysis of deficits which impact the Firm’s ability to adhere to the SEC 15c3-3 Client Protection Possession or Control rule. 
- Works with applicable business partners to ensure timely resolution of open deficit items. 
- Understands the Possession or Control issues and prepares updates for management on root causes. 
- Participates in the resolution of open Audit Issues and system enhancements impacting Client Assets/Possession or Control. 
- Completion of deep dive reviews to drive out a thorough understanding of the root cause and to determine if similar issues could be present elsewhere across the client money processes. 
- Participates in the resolution required to ensure that the appropriate control processes are embedded to prevent further re-occurrences of issues. 

Requirements:

- Ability to work in a dynamic team environment.
- Excellent organizational skills, attention to detail and oral and written communication skills.
- Strong analytical skills.
- Strong computer skills: Microsoft Office Suite with an emphasis on Excel.
- Ability to define problems, establish facts and formulate conclusions to solve problems.
- Ability to develop and maintain quality relationships with business partners.

Other Qualifications:

- Strives to bring new thoughts and ideas to the team 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:

H6

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Job Description:

Responsible for ensuring Firm compliance with the SEA 15c3-3 Customer Protection Rule.  The role requires the incumbent to develop quality relationships with key business partners in order to ensure that Firm deficits are resolved in a timely manner and that applicable actions are taken within regulatory requirements.

Responsibilities:

- Monitoring and analysis of deficits which impact the Firm’s ability to adhere to the SEC 15c3-3 Client Protection Possession or Control rule. 
- Works with applicable business partners to ensure timely resolution of open deficit items. 
- Understands the Possession or Control issues and prepares updates for management on root causes. 
- Participates in the resolution of open Audit Issues and system enhancements impacting Client Assets/Possession or Control. 
- Completion of deep dive reviews to drive out a thorough understanding of the root cause and to determine if similar issues could be present elsewhere across the client money processes. 
- Participates in the resolution required to ensure that the appropriate control processes are embedded to prevent further re-occurrences of issues. 

Requirements:

- Ability to work in a dynamic team environment.
- Excellent organizational skills, attention to detail and oral and written communication skills.
- Strong analytical skills.
- Strong computer skills: Microsoft Office Suite with an emphasis on Excel.
- Ability to define problems, establish facts and formulate conclusions to solve problems.
- Ability to develop and maintain quality relationships with business partners.

Other Qualifications:

- Strives to bring new thoughts and ideas to the team 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-21084931

Band: H6

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Meghann Fields

Referral Bonus:

0

Street Address

Primary Location:
4804 DEER LAKE DR E, FL, Jacksonville, 32246