Ops Professional MKTS (Client Asset Control)


About

problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. May manage projects and/or the introduction of new initiatives, systems, products/services and processes, coordinating necessary expertise across multiple operations functions and/or products. As a technical expert, may also function as an informal team lead, providing work direction and technical guidance to less experienced employees in resolving complex transactions and operational problems. Requires extensive experience in an operations support function with thorough working knowledge of fundamental business structure and operational aspects for specific transactions and products. As a technical expert, will consult on a wide variety of topics across functional and business support lines. LOB Job Description Role is within the Client Asset Control Group (CACG) within Global Markets Operations. CACG are a global team who provide oversight of the Firm’s customer asset protection regulatory requirements, primarily SEC 15c3-3 and CFTC Customer Protection Rules. The role will specifically be part of the Governance function within CACG and the successful candidate will have responsibility for; Coordinating multiple governance processes covering client asset protection (includes preparation of meeting materials, recording meeting minutes, working with key stakeholders to ensure actions are completed in a timely manner raised), Interacting with senior management to provide required input into periodic governance routines (including entity board meetings, business risk reviews). Coordination of investigation and remediation of issues that potentially impact customer asset protection, including investigation of issue impact, internal escalation of issues, and coordination of remediation actions to ensure timely resolution. Co-ordination of regulator and audit examinations, including coordination of annual FINRA exams, external audit 17a-5 and CFTC Risk Management Program, and Internal Audits. Maintenance of key customer asset protection documentation (e.g. internal policies and guidelines) Required Skills: Experienced in the preparation of senior level reporting, advanced written, verbal and presentational skills required. Expertise in Word, Excel, PowerPoint and SharePoint. Risk and Control mindset. Energy and drive; able to take personal ownership for delivering superior service to internal clients. Ability to influence outside of direct team to facilitate changes to controls and processes that impact regulatory environment. Excellent Organizational & Multi-tasking skills to support client money reporting oversight groups. Strong written and verbal skills. Experience in working with internal and external audit teams to deliver. General knowledge across investment bank operations product processes and the associated control environment. An understanding of customer protection rules (CFTC, SEC 15c3-3), and experience of working in a large broker/dealer is preferred but not essential. Posting Date: 08/16/2018 Location: Jacksonville, FL, JACKSONVILLE 3, 4804 DEER LAKE DR E, - United States Travel: Yes, 5% of the time Full / Part-time: Full time Hours Per Week: 40 Shift: 1st shift

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