• Snapboard
  • Activity
  • Reports
  • Campaign
Welcome ,

Chat with the recruiter

...Minimize

Hey I'm Online! Leave me a message.
Let me know if you have any questions.

Sr Business Control Specialist - Regulatory Supervision Governance

In United States

Save this job

Sr Business Control Specialist - Regulatory Supervision Governance   

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

JOB TITLE:

Sr Business Control Specialist - Regulatory Supervision Governance

JOB TYPE:

JOB SKILLS:

JOB LOCATION:

Charlotte, NC 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:

Primary point of contact for Regulatory Supervision Governance across Global Market Operations. Interact with multiple lines of business' senior leaders, Compliance and Registrations and Licensing. Maintain compliance with FINRA/SEC regulations for Global Markets Operations licensed employees.

 

Responsibilities:
• Ensure the timely update of the supervisory documentation to support one or more of the applicable 16 covered functions under FINRA rule 1230(b)(6).
• Ensure that licensed employees are properly aligned to a Register Principal and with the proper legal entity.
• Monitor monthly attestations by Series 99 employees in the Supervisory Management Application tool.
• Serves as a resource to assist the Line of Business (LOB) in determining the functions considered critical to our business.
• Ensure registration requirements are communicated on a regular basis via annual notices issued to registered employees and their direct managers
• Ensure that high-level procedures for associated covered functions are properly documented and refreshed.

 

Requirements:
- Knowledge of SharePoint, advanced Microsoft Office Suite Experience
- Presentable, confident and regulatory focused.
- Excellent communications skills and ability to present to an audience
- ability to work under pressure in a team environment
- ability to liaise with all levels of the firm and people with different experiences and backgrounds
- Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate

 

Other Qualifications:
- Previous Experience within a regulatory environment beneficial
- Knowledge of Operational Risk helpful

- 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:

Oct 03, 2022

EMPLOYMENT:

INDUSTRY:

SNAPRECRUIT ID:

S16542144319972016

LOCATION:

United States

CITY:

Charlotte, NC

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 - Regulatory Supervision Governance    Apply

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

<div> <p>Enterprise Role Overview:</p> <p>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.</p> <p> </p> <p>LOB Specific Job Description:</p> <p>Primary point of contact for Regulatory Supervision Governance across Global Market Operations. Interact with multiple lines of business' senior leaders, Compliance and Registrations and Licensing.<span> </span>Maintain compliance with FINRA/SEC regulations for Global Markets Operations licensed employees.</p> <p> </p> <p>Responsibilities:<br /> • Ensure the timely update of the supervisory documentation to support one or more of the applicable 16 covered functions under FINRA rule 1230(b)(6).<span> </span><br /> • Ensure that licensed employees are properly aligned to a Register Principal and with the proper legal entity.<span> </span><br /> • Monitor monthly attestations by Series 99 employees in the Supervisory Management Application tool.<br /> • Serves as a resource to assist the Line of Business (LOB) in determining the functions considered critical to our business.<span> </span><br /> • Ensure registration requirements are communicated on a regular basis via annual notices issued to registered employees and their direct managers<br /> • Ensure that high-level procedures for associated covered functions are properly documented and refreshed.</p> <p> </p> <p>Requirements:<br /> - Knowledge of SharePoint, advanced Microsoft Office Suite Experience<br /> - Presentable, confident and regulatory focused.<br /> - Excellent communications skills and ability to present to an audience<br /> - ability to work under pressure in a team environment<br /> - ability to liaise with all levels of the firm and people with different experiences and backgrounds<br /> - Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate</p> <p> </p> <p>Other Qualifications:<br /> - Previous Experience within a regulatory environment beneficial<br /> - Knowledge of Operational Risk helpful</p> <p>- Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions<br /> - Excels in working among diverse viewpoints to determine the best path forward<br /> - Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner<br /> - Commitment to challenging the status quo and promoting positive change.<br /> - Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base<br /> - Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world</p> </div>


Please wait..!!