- Provide Management and internal stakeholders with analysis and assessment results of the Regulatory process and control framework across all Operations’ functions.
- Ensure that FM Operations is operating appropriately to accomplish compliance with US broker-dealer rules and regulations.
- Conduct periodic (monthly, quarterly, annual) assessments of processes within the US broker-dealer to ensure compliance with regulatory requirements.
- Coordinate regulatory / audit inquiries of Operations. Liaise with auditors and regulators and provide responses to requests.
- Act 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.
- Provide gap analysis, as required, to identify and close potential regulatory process supervisory control gaps.
- Communicate with and educate Operations staff regarding regulatory obligations (direct and indirect) and responsibilities.
- Analyze and manage improvements in front to back trade flow following the life cycle of a trade.
- Experience with vetting and supervision of outsourcing arrangements.
- Responsible for day-to-day operations with brokerage business and operational activities
- Detailed understanding of securities rules and regulatory reporting, including but not limited to TRACE, CAT, Short Interest & Bluesheets.
- Bachelor’s degree in accounting, finance, administration, or related field.
- 4+ years of experience in broker-dealer operations.
- Series 99 required within 90 days of employment.
- Proficient in Excel, PowerPoint, Word and MS Outlook.
- Hold a work authorization in the United States.
- Excellent attention to detail and an exceptionally high degree of initiative/adaptability.
- Strong interpersonal skills, detail oriented, organized, proactive and have intellectual curiosity.
- The ability to work with numerous and conflicting deadlines.
- Be self-motivated and energetic.
- Excellent verbal & written communication skills with the specific ability to communicate concepts and ideas concisely.
- Ability to work under pressure and tight deadlines.
- Outstanding ethics, integrity and judgement.
- Ability to comfortably interact with partners in a professional and mature manner.
- Ability to work independently as well as in a team environment.