Do you advocate for the importance of mitigating Operations risk? Do you have experience identifying the regulatory requirements applicable to Operations functions? Are you the type of person that ensures stakeholders have a complete understanding of regulatory obligations, and validate that procedures / processes are sufficient to accomplish compliance with those requirements? Do you know how to solve problems and can multi-task effectively?

We are looking for a Broker Dealer Operations Authorized Officer to provide Senior Operations Management and internal stakeholders with analysis and assessment results of the Regulatory process and control framework across all Operations’ functions. The Authorized Officer will be responsible for:

• Ensuring Global Wealth Management Operations is operating appropriately to accomplish compliance with US broker-dealer rules and regulations.
• Conducting periodic (monthly, quarterly, annual) assessments of processes within the US broker-dealer to ensure compliance with regulatory requirements.
• Coordinating regulatory / audit inquiries of Operations. Liaise with auditors and provide responses to requests.
• Assessing various processes to ensure regulatory compliance, including oversight of the 15c3-3 Reserve Formula deposit.
• Acting as lead regarding emerging regulatory items impacting Operations. Partner with Compliance to review emerging regulatory items, implement any required changes, assist in supervisory control framework development, and set future assessment schedules.
• Providing gap analysis, as required, to identify and close potential regulatory process supervisory control gaps.
• Communicating with, and educating Operations staff regarding regulatory obligations (direct and indirect) and responsibilities.
• Assisting in the review of the following regulatory processes; Customer Protection (SEC Rule 15c3-3), FOCUS reporting process, Medallion Stamps, Series 99 registrations, Quarterly Securities Counts.