Manager, GWO Securities Settlements - Regulatory Control
Core
Ensures regulatory compliance and performs quantitative/qualitative controls for securities settlements and cash/position reconciliations within the Global Banking and Markets team.
Role type
Manager, Securities Settlements Regulatory Control
Builds
Securities settlement operations and regulatory reporting for Global Banking and Markets
Domain
Capital Markets / Securities Settlements
Required skills
Possession and Control, Regulatory Compliance, Reconciliation, FINRA Reporting, Risk Management, Audit Facilitation, Systems Knowledge, Client Relationship Management, Process Improvement, Coaching
Preferred skills
Series 99 License, Broadridge BPS, Postedge, DTC, Microsoft Excel
Technologies
Broadridge BPS, Postedge, DTC
Responsibilities
Lead customer-focused culture and deepen client relationships; Perform quantitative controls (Cash, Position, Trial Balance, Stock Record reconciliations); Perform qualitative controls (New Account Designation, Confirmations, Statements); Execute regulatory functions (FINRA extensions, collateral submissions); Facilitate internal and external audits; Support new business initiatives and operational projects as a subject matter expert.
Seniority
Manager, hands-on leadership