Job Description: This role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection regulatory requirements across multiple Broker Dealers.
This role primarily manages the 15c3-3 Customer Protection related processes and controls pertaining to account opening, account maintenance and account designation. The associate will primarily serve as an individual contributor and subject matter expert; however, may also act as an informal team leader, providing training and guidance to team members and business partners as needed.
Responsibilities: • Performs the 15c3-3 related processes and controls pertaining to third-party account opening and maintenance for the broker dealer legal entities and maintains proper documentation for audit purposes.
• Performs and oversees client and firm account designation reconciliations ensuring timely remediation of breaks; includes preparing metrics and management updates.
• Supports the analysis, assessment, and monitoring of systems, processes, and controls in scope for account designation to ensure compliance with regulatory guidelines.
• Proactively identifies, documents, and raises key risks and areas of improvement.
• Fosters collaborative relationships and coordinates with key stakeholders across the organization to facilitate remediation of identified issues and/or recommendations; includes defining and implementing long term strategic technology solutions to enhance the existing control environment.
• Serves as a subject matter expert for operational and regulatory change initiatives, audit issues, remediation of client asset incidents, and regulatory exams. May manage small to mid-size projects.
Requirements: • Intellectually curious with an aptitude for learning complex concepts quickly.
• Proven analytical and problem-solving skills with excellent attention to detail and high level of accuracy.
• Self-starter with effective time management and organizational skills; able to manage multiple priorities and meet deadlines.
• Advanced communication skills, both verbal and written, with ability to present to senior level audiences.
• Committed to challenging the status quo and making sound recommendations to implement strategic change.
• Ability to analyze system logic, processes, and controls against regulatory guidelines to assess compliance.
• Strong interpersonal and networking skills; knows how to navigate the organization to engage relevant stakeholders.
• Effectively manages conflict with ability to gain stakeholder agreement to achieve optimal solutions.
• Adapts to, manages, and implements change effectively.
• Proficient with Excel, PowerPoint, and other MS Office products.
• Understanding of U.S. Broker Dealer business, operations, and/or regulatory environment. Knowledge of Customer Protection regulations is desired, but not required.
• Experience working in related areas such as - client onboarding, client account opening, global reconciliation, reference data management, network (vendor) management, bank control, trade processing, trade control, client services, AML, KYC.
• Experience working in a risk & control or regulatory environment.
• Project support or management experience.
• 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.
• 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
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