Senior Manager Controls and Oversight

What is the opportunity?

The Senior Manager Controls and Oversight will be responsible to establish and execute controls and supervision for FINRA defined covered functions and contractional SLAs applicable to the department which may include additional regulators on top of FINRA. Incumbent will partner with compliance, Risk. Legal, business groups to design, develop, produce, consult, and execute on a variety of internal and external business and supervisory procedures and key controls.

The incumbent is responsible for the creation and execution of internal risk management, as well as collaborating with employees throughout Operations to drive risk mitigation strategies.

• Draft, publish, and execute operational and business risk policies, WSPs, and procedures. Achieve by leveraging Compliance, WM Risk, and Legal advice and by applying trainings and company resources effectively.
• Establish key requirements to validate controls are embedded into project management milestones and key success factors.
• Support product reviews by describing processes done and covered functions that are supervised to support the product. Provide signoff which in turn allows Ops to approve or decline product offerings.
• Validate and evidence RCSA, key controls and WSPs accurately represent functional area processes supported.
• Act as a strategic business partner by identifying control and supervisory needs and in turn assist with developing, enhancing, and implementing effective compliance programs. This also includes any necessary revision of policies, procedures, and written supervisory procedures.
• Participate in industry working groups to determine opportunities for implementing industry best practices specific to risk.
• Support client remediation efforts by completing root cause analyses of control failures and providing recommendations on new controls or controls improvements.
• Monitor policy exceptions and emphasize within reason to make changes or limit exceptions.
• Provide training, coaching, and mentoring for department managers and other Operations resources, fostering teamwork and knowledge transfer.
• Deliver training as required to validate efficient Operations’ processing and successful initiative implementation.

• 4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 5+ years of securities, banking, technology, risk and/or job specific industry experience
• 5+ years prior securities, banking, technology, risk and/or job specific related experience
• Securities license 99 (or able to obtain license within 120 days)
• Strong Leadership, facilitation, negotiation, training, and mentoring skills
• Strong relationship management, change leadership and managerial skills dealing with all parts of platform and all levels of senior management.

• Experience and knowledge of broker-dealer operations.
• Successful track record and ability to influence and lead others to produce high quality results that meet business goals and team expectations.
• Knowledge of SEC and FINRA regulations
• Experience with reporting Operational Risk Events, Self Identified Issues, or Reportable Compliance Issues
• Strong problem identification, analytical and resolution skills required to support issue resolution and/or oversight requirements associated with complex processes.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Access to a variety of job opportunities across business

The good-faith expected salary range for the above position is $90,000 - $160,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not…