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Broker-dealer Expert
4 months ago
Job Title: Broker-dealer Expert
Industry: Banking
Location: New York, NY
Duration: 12-month contract (with potential for extension based on performance)
Shift: Monday to Friday | 8:30 am to 5 pm
Pay Rate: $45/hr to $50.80/hr
Job Description:- Join the Client Asset Control Group (CACG), a Global Markets Operations team at Bank.
- As a Business Analyst, you'll act as a subject matter expert (SME) and liaison for front office and operations partners, focusing on SEA Rule 15c3-3 compliance.
- Assess and enhance the risk and control environment.
- Monitor and test controls, identifying and remediating issues.
- Implement optimized controls and Quality Assurance (QA) practices.
- Conduct quality inspection reviews and perform QA activities.
- Support regulatory exams, audits, and other reviews.
- Collaborate with Possession or Control and Regulatory Reporting teams.
- Liaise with front office on new product designs.
- Provide audit assistance and internal process training.
- Experience: 5+ years in US Broker Dealer operations, front office, or regulatory/compliance roles.
- Knowledge: Familiarity with DTC settlement, SEA Rule 15c3-3, equities clearing, and SEC regulations.
- Skills: Strong analytical thinking, attention to detail, problem-solving, and decision-making.
- Communication: Excellent written and verbal skills; comfortable leading meetings and presentations.
- Other: Self-motivated, innovative, able to work unsupervised, and committed to promoting positive change.
