Job Description:

Enterprise Role Overview:

Provide analytical support in executing internal control discipline and operational excellence within a LOB/ECF. Gather and organize data in order to monitor and test the effectiveness of key controls and status of mitigation and action plans. Prepare documentation for the tracking, monitoring, and escalation of risk related issues to management. Acts as an ambassador of the risk culture. Incumbents typically have over 5+ years of risk management and/or LOB/ECF experience. May manage staff.

LOB Specific Job Description:

This role resides within the Client Asset Control Group (CACG), which is a Global Markets Operations team responsible for ensuring compliance with SEA 15c3-3 Customer Protection Rule. The incumbent will perform and oversee various processes and controls in scope for client asset protection, while maintaining effective relationships with key stakeholders to drive deficit remediation.

Responsibilities:

• Monitor key metrics and reporting to identify and escalate potential issues
• Apply strong knowledge of regulatory requirements to review firm deficits and ensure appropriate actions are taken in a timely manner

• Establish effective relationships with key partners in operations and line of business to drive accountability and deficit remediation
• Prepare highlights and updates, including root causes, for management
• Promote audit readiness within the team, support audit inquiries, exams and open audit issues.
• Support client asset related initiatives which can include regulatory changes, system enhancements, process improvements, automation, etc.
• Mitigate risk by participating in the remediation of client asset related incidents ensuring appropriate controls are implemented to prevent further re-occurrence.
• Continuously seek opportunities to identify gaps and improve processes and controls to ensure regulatory compliance.

Requirements:

• Self-driven, task and results oriented individual with excellent attention to detail and high level of accuracy
• Ability to work in a dynamic team environment
• Excellent organizational and time management skills, with proven ability to manage multiple priorities and meet deadlines
• Effective oral and written communication skills
• Strong analytical, critical thinking, and problem solving skills
• Risk and control mindset
• High proficiency with Excel and other MS Office applications
• Ability to define problems, establish facts and formulate conclusions to solve problems.
• Demonstrated leadership skills and ability to influence others.

Other Qualifications:

• General knowledge of U.S. Broker Dealer business, operations and/or regulatory environment.
• 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
• 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

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