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15c3-3 Customer Protection Specialist (Broker Dealer)

Jacksonville, Florida;

Job Description:

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.

Other Qualifications:

• 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


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No