Associate, cCompliance Customer Protection

Job Description

What is the opportunity?

• The Customer Protection Control team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4311) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI).

• This role will call for the performance of daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance.

• Additionally, the role will entail periodic risk metrics reporting, active participation in numerous projects and special initiatives, assisting department management with Regulatory, Compliance and Audit inquires, and assisting the team with its user acceptance testing (Compliance related system and workflow enhancements) responsibilities.

• The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and directly with various senior stakeholders / team leads.

What will
you do?

• Perform daily Possession and Control (15c3-3 and 4311) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds, filing 15c3-3 extension requests with FINRA when required. (35%)

• Daily BAU (20%)

  • Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department.

  • Prepare departmental metrics and daily/weekly/ad-hoc management reports.

  • Assist in the fulfillment of CP Related regulatory/audit inquiries / reviews.

  • Fulfill applicable Monthly FOCUS Reporting (US only) requirements Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues.

  • Perform daily monitoring activities with respect to assigned BPS user entry authorizations.

  • Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS.

• Project work and user acceptance testing of seg related system and workflow testing efforts (45%)

What do you need to succeed?

Basic Qualifications

• Bachelor’s degree or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics. Or strong extended experience in equivalent role.

• 7-10 + years’ experience in US Capital Markets Broker / Dealer Operation and or Canadian Broker Dealer.

• Medium – Strong proficiency level interpreting and analyzing key BPS reports and tools:
  Stock Record, Pending Excess, Margin Trial Balance.

• Medium – Strong level comprehension level of SEA Rule 15c-3 and CIRO 4311 (Possession and Control).

Other

Required Qualifications:

• Ability to collaborate with team members to review businesses, products and functional areas to identify key risks and synergy opportunities.

Suggested

Qualifications:

• Medium to High proficiency level across Microsoft suite of products:
  Word, Excel (Macro knowledge), PowerPoint, Visio.

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation.

• Opportunities to learn continuously and develop professionally

• Opportunities to build close relationships with coverage companies, investors and others internally within Capital Markets

• Access to a variety of job opportunities across business and geographies

#LI-KA2

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Note: Applications will be accepted until 11:59 PM on the day prior to the Final…