***Must sit on-site in Jacksonville, FL***
Position: Financial Settlements Analyst
Duration: 6 month contract to start (potential to extend or convert)
Location: Jacksonville, FL - hybrid
Pay Rate: Waiting to confirm - most likely between 35/hour-45/hour
MUST HAVES:
• 2+ years of experience working with Securities, Brokers, or Settlements in Banking/Financial Industry
• Risk/Control Mindset - strong attention to detail
• Analytical/Critical Thinking skills
• Problem Solving - Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate.
• Written Communications - Presentable, confident and client focused. Comfortable leading meetings, creating presentation documents, and speaking to senior stakeholders.
• Innovative Thinking - Ability to work collaboratively and challenge current processes in clear, logical manner.
PLUSSES:
• Quality Assurance - Working knowledge of equities clearing, broker dealer operations, and Securities and Exchange Act Regulations.
• Any experience with Altryx, SharePoint, and/or JIRA - to help streamline their work
JOB DESCRIPTION:
The role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG AMRS is a Global Markets Operations team which provides front-to-back oversight of customer protection regulatory requirements across two registered broker dealers.
The role will serve as an individual contributor, acting as a subject matter expert (SME) and liaison for front office and operations partners regarding firm specific queries on treatment for custody, processing flows and/or new business proposals under the US broker dealer regulatory customer protection rules, with specific focus on SEA Rule 15c3-3: Possession or Control. The role will support large scale change initiatives.
• Assess the design and effectiveness of the risk and control environment to support Global Data and Reporting Operations and ensure adherence to enterprise-wide standards
• Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
• Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
• Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness
• Performs QA activities including executing on controls, managing cases, and reporting results
• Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success
• Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting
• Work with Possession or Control and Regulatory Reporting teams to ensure systems and connected processes operated within requirements.
• Liase with front office lines of business on new product designs with impact to client seg and rehypothecation process.
• Provide audit assistance and guidance during internal/external reviews of segregation process.
• Support internal process training to key stakeholders' infrastructure
• Controls Management - Previous experience with DTC settlement and the Customer Protection Rule / SEA Rule 15c3-3.
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