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Sr. Business Control Specialist – Client Asset Oversight - Process and Control Analyst (Jacksonville, FL or Charlotte, NC)

In United States

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Sr. Business Control Specialist – Client Asset Oversight - Process and Control Analyst (Jacksonville, FL or Charlotte, NC)   

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JOB TITLE:

Sr. Business Control Specialist – Client Asset Oversight - Process and Control Analyst (Jacksonville, FL or Charlotte, NC)

JOB TYPE:

JOB SKILLS:

JOB LOCATION:

Jacksonville, FL United States

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). CACG is a Global Markets Operations team which provides front-to-back oversight of customer asset regulatory requirements across multiple Broker Dealers. The candidate supports the analysis, assessment, and monitoring of systems, processes, and controls in scope for client asset protection to ensure compliance with regulatory guidelines. The candidate interacts with key stakeholders across the organization including CACG, line of business, operations, technology, compliance, legal and internal audit to facilitate remediation of identified issues or recommendations. Candidate may also support various operational and regulatory change initiatives, audit issues, and remediation of client asset incidents.

 

Responsibilities:

• Contribute to the enhancement and development of the target operational strategy for the Global Client Asset Program.
• Execute deep dive reviews across CACG and various operational areas which impact Client Asset Protection compliance - includes identifying key issues, risks, process inefficiencies, as well as opportunities for process improvements and automation.
• Perform risk-based assessment of identified issues to determine materiality of regulatory breaches or risk (e.g. impact analysis, trend analysis, key risk metrics).
• Create and manage action plans through resolution – includes tracking and closing action items within designated timelines, testing, and implementation strategy.
• Facilitate and document meetings with key stakeholders to present findings, gain stakeholder agreement, and drive action steps for remediation.
• Document, report, and present findings to relevant governance committees to ensure proper escalation and reporting routines are followed based on materiality.
• Update and maintain client asset procedures, controls inventory, end to end process flows, and traceability documentation as needed.

 

Requirements:

• An understanding of U.S. Broker Dealer business, operations, and regulatory environment – includes general knowledge across associated products, processes, and key controls. Knowledge of Customer Protection regulations is desired, but not required.
• Ability to analyze system logic, processes, and controls against regulatory guidelines to assess compliance.
• Ability to make sound recommendations and influence key stakeholders to facilitate changes within the regulatory control environment.
• Manage risk by ensuring proper risk disciplines are in place and adhered to by areas that impact Client Asset Protection (i.e. key risk indicators, metrics, heat maps, etc.).
• Advanced communication skills, both written and verbal, at all levels within the organization.
• Excellent organizational skills with ability to effectively manage multiple priorities and meet deadlines.
• Self-driven, task and results oriented individual with excellent attention to detail and high level of accuracy.

 

Other Qualifications:

• Risk and control mindset
• Strong analytical, critical thinking and problem-solving skills
• High proficiency with Excel, Visio and other MS Office products

• Experience with Six Sigma
• 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

Position Details

POSTED:

Sep 27, 2022

EMPLOYMENT:

INDUSTRY:

SNAPRECRUIT ID:

S16553376305422067

LOCATION:

United States

CITY:

Jacksonville, FL

Job Origin:

OORWIN_ORGANIC_FEED

A job sourcing event
In Dallas Fort Worth
Aug 19, 2017 9am-6pm
All job seekers welcome!

Sr. Business Control Specialist – Client Asset Oversight - Process and Control Analyst (Jacksonville, FL or Charlotte, NC)    Apply

Click on the below icons to share this job to Linkedin, Twitter!

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). CACG is a Global Markets Operations team which provides front-to-back oversight of customer asset regulatory requirements across multiple Broker Dealers. The candidate supports the analysis, assessment, and monitoring of systems, processes, and controls in scope for client asset protection to ensure compliance with regulatory guidelines. The candidate interacts with key stakeholders across the organization including CACG, line of business, operations, technology, compliance, legal and internal audit to facilitate remediation of identified issues or recommendations. Candidate may also support various operational and regulatory change initiatives, audit issues, and remediation of client asset incidents.

 

Responsibilities:

• Contribute to the enhancement and development of the target operational strategy for the Global Client Asset Program.
• Execute deep dive reviews across CACG and various operational areas which impact Client Asset Protection compliance - includes identifying key issues, risks, process inefficiencies, as well as opportunities for process improvements and automation.
• Perform risk-based assessment of identified issues to determine materiality of regulatory breaches or risk (e.g. impact analysis, trend analysis, key risk metrics).
• Create and manage action plans through resolution – includes tracking and closing action items within designated timelines, testing, and implementation strategy.
• Facilitate and document meetings with key stakeholders to present findings, gain stakeholder agreement, and drive action steps for remediation.
• Document, report, and present findings to relevant governance committees to ensure proper escalation and reporting routines are followed based on materiality.
• Update and maintain client asset procedures, controls inventory, end to end process flows, and traceability documentation as needed.

 

Requirements:

• An understanding of U.S. Broker Dealer business, operations, and regulatory environment – includes general knowledge across associated products, processes, and key controls. Knowledge of Customer Protection regulations is desired, but not required.
• Ability to analyze system logic, processes, and controls against regulatory guidelines to assess compliance.
• Ability to make sound recommendations and influence key stakeholders to facilitate changes within the regulatory control environment.
• Manage risk by ensuring proper risk disciplines are in place and adhered to by areas that impact Client Asset Protection (i.e. key risk indicators, metrics, heat maps, etc.).
• Advanced communication skills, both written and verbal, at all levels within the organization.
• Excellent organizational skills with ability to effectively manage multiple priorities and meet deadlines.
• Self-driven, task and results oriented individual with excellent attention to detail and high level of accuracy.

 

Other Qualifications:

• Risk and control mindset
• Strong analytical, critical thinking and problem-solving skills
• High proficiency with Excel, Visio and other MS Office products

• Experience with Six Sigma
• 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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