We are looking for a Broker-Dealer for multinational financial services company in Jersey City, NJ for a 06-month project.
We at Ian Martin envision a world where everyone is connected in meaningful work and if you find great meaning in developing some of the most widely used products in the world, then we have the career path for you.
Scope of the Project:
• The Customer Protection Control team is tasked with providing central governance and oversight of transactions, projects, and system change requests that impact Customer Protection compliance capabilities of the U.S Broker Dealer. (“SEC Rule 15c3-3” – Possession or Control)
• The team’s daily compliance monitoring functions are integral in ensuring the firm’s overall regulatory compliance profile is viewed favorably by applicable governing bodies (FINRA, SEC).
What will you do?
• Perform daily oversight functions, including root cause analysis
• Daily reporting and escalation of exceptions to management
• Assist senior team members in system testing (UAT) efforts
• Engage and collaborate with internal operations teams and external technology partners regarding on-going CP risk mitigation efforts.
• Perform tasks integral to the completion of key CM operations projects and initiatives
• Bachelor’s degree or equivalent preferably with emphasis in Business, Accounting, or Finance.
• Ten years prior experience working in a self-clearing broker dealer, preferably performing daily settlement, balancing, and/or core back-office reconciliation functions.
• Prior experience using Broadridge back office applications (BPS, Impact); and core Broadridge reports (Stock Record, RD Master, Pending Excess, etc.)
• Advanced knowledge of brokerage accounting principles and best audit practices applicable to self-clearing Broker Dealers.
• Meticulous focus on detail / accuracy with respect to record keeping, reporting, and all written communications.
• Solid Microsoft Office Application skills: Excel, Word, PowerPoint.
• Prior regulatory experience working at the SEC, FINRA, Federal Reserve, etc., and / or
• Prior audit / consulting experience working at Big Four firm covering financial services firms.
Looking for Meaningful Work? We can help.
If you are a Broker, you know that it can be difficult to find fulfilling work that advances your career. At the Ian Martin Group, we exist to connect professionals like you with meaningful work at industry-leading companies in your field. And we walk the walk, too: as a Certified B Corporation, we believe in using business as a force for good for people, our communities, and the environment.
We value diversity and inclusion and encourage all qualified people to apply. If we can make this easier through accommodation in the recruitment process, please contact us at email@example.com.
We encourage all qualified candidates to apply; however, only those selected for an interview will be contacted.