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CIB - Equities - Prime Brokerage - Regulatory & Controls Middle Office - Associate - Midtown

Req #: 170123615
Location: New York, NY, US
Job Category: Operations
Job Description:


The North America Equities & Prime Brokerage Middle Office provides operational support for both the Equities and the Prime Brokerage businesses. Within the NA EQ & PB Middle Office, the Regulatory & Controls team is responsible for managing the end to end control environment across the North America trading, sales, and client service middle offices.    
The role in Equities & Prime Brokerage Middle Office Regulatory & Controls team has end to end exposure to the business operational and control framework, covering a wide range of products and multiple flows. The team partners with various groups including Front Office, MO teams, Business Control Office, Business Management, Technology, Core Operations, Financial Controllers, Compliance and Audit; all to establish control & regulatory reporting governance, risk analysis, and risk
NA Equities & Prime Brokerage Middle Office Risk & Control Obligations:
- Prepare and syndicate control materials to be presented in multiple business control forums including: the CAO Control forum, Regional Control forums, and
Business BCCs
- Initiate, manage and drive control improvement programs
- Lead assessments of control design and effectiveness to mitigate risk
- Perform control testing and propose remedial actions
- Consolidate weekly risk metrics for review with management
- Provide insight and risk and control commentary for business review forums
- Oversee Key Risk Indicators; investigate and escalate
NA Equities & Prime Brokerage Middle Office Regulatory Control Obligations:
- Management of the day to day FINRA OATS reporting requirements and exception management
- Governance and monitoring of other relevant controls impacting US equities transaction reporting and conduct
obligations (Dodd-Frank Trade Reporting & External Business Conduct, Stock Record, etc)
- Partnering with the various functions to improve the Firm’s existing Regulatory reporting framework, as well as ensuring
the Firm’s compliance on new Regulatory reporting obligations.
- Partnering with Technology to produce and manage a program that insures technology releases and upgrades remain compliant with pertinent reporting requirements

- Strong securities, derivatives, and trade lifecycle knowledge

- Good analytical skills, problem solving & process re-engineering skills

- Investigative mindset, able to see issues at both a high-level and in detail

- Excellent communication and interpersonal skills, ability to develop strong working relationships

- Ability to multi-task and work under pressure and with minimal guidance on day-to-day tasks

- Highly motivated, energetic self-starter who takes ownership

- Detail oriented, good organizational skills – manages & prioritizes tasks across different time horizons within deadlines.

- Project management skills a plus

- Series 99 registration a plus


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