About this role
Role Overview
- Perform daily Possession and Control (15c3-3 and 4311) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds
- Filing 15c3-3 extension requests with FINRA when required
- Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department
- Prepare departmental metrics and daily/weekly/ad-hoc management reports
- Assist in the fulfillment of CP Related regulatory/audit inquiries / reviews
- Fulfill applicable Monthly FOCUS Reporting (US only) requirements
- Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues
- Perform daily monitoring activities with respect to assigned BPS user entry authorizations
- Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS
- Project work and user acceptance testing of seg related system and workflow testing efforts
Requirements
- Bachelor’s degree or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics
- 7-10 + years’ experience in US Capital Markets Broker / Dealer Operation and or Canadian Broker Dealer
- Medium – Strong proficiency level interpreting and analyzing key BPS reports and tools: Stock Record, Pending Excess, Margin Trial Balance
- Medium – Strong level comprehension level of SEA Rule 15c-3 and CIRO 4311 (Possession and Control)
- Ability to collaborate with team members to review businesses, products and functional areas to identify key risks and synergy opportunities
- Medium to High proficiency level across Microsoft suite of products: Word, Excel (Macro knowledge), PowerPoint, Visio
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions and stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan