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VP, Fixed Income Operations & Controls Manager

  • Stamford, CT
  • Full Time

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Office Status: Hybrid
Salary: $140,000 to $160,000

Responsibilities:

  • Day to day oversight of all outsourced activities in line with documented procedures.
  • Implementation and execution of Written Supervisory Procedures (WSPs) for all outsourced activities, ensuring evidence of supervision is performed in line with documentation.
  • Collect, review, and challenge Broadridge Standard Operating Procedures and daily output, working with Broadridge and internal stakeholders to highlight concerns and remediate incidents.
  • Identify and own opportunities to re-engineer processes & controls from a simplification, cost saving, regulatory, and customer perspective.
  • Implementation, execution, maintenance, and monitoring of Service Level Agreements.
  • Support for internal and external audits / perform Risk Assessments and see through until closure.
  • Attendance at regular governance meetings with service providers – ensure issues are raised and actioned, meetings are well documented, required procedural changes are discussed and agreed, audit results are reviewed and addressed.
  • Maintaining an effective control environment through review and distribution of policy updates, SOX/RACA identification and creation of controls, adequacy reviews and testing, MI Review and Reporting, and maintenance of governance documentation.
  • Review and validation of agent invoices prior to sourcing for approval and payment.
  • Regular reporting to management on status of outsourced and offshored activities, with particular attention to any risks, issues, and remediation actions.
  • Review and approval of cash wires and journals to the firm General Ledger.
  • Process month end ledger cash adjustments & reconciliation packages working with Financial Reporting and Regulatory teams.