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AD Customer Protection Control Team
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Full-time
- They are tasked with providing central governance and oversight of daily transaction processing with respect to RBCCM LLC’s compliance responsibilities (SEA Rule 15c3-3, Possession and Control), as well as those in CIRO (Rule 4311) for DSI. The team also oversees all new business and change initiatives that may impact Customer Protection related work streams; ensuring compliance adherence for each change / implementation.
- In addition to the team’s Customer Protection Governance responsibilities, the team also performs / administers annual FRR (Financial Responsibility Rules) controls testing across BCS, and partners with US Regulatory Finance team to monitor applicable FOCUS reporting work streams and address FINOP related issues owned by RBCCM LLC.What will you do?
- Provide key subject matter expertise and leadership as it pertains to frontline seg processing inquiries (CM, DSI and WM businesses / operations teams) and to applicable stakeholders for all change initiatives that impact existing seg processing work streams.
- Administer FRR Controls Testing program of assigned BCS CP control.
- 10+ years’ experience in Broker-Dealer Operations / US Canadian Capital Markets / FINOP oversightHigh competency and knowledge level of (Broadridge) BPS/ADP, Impact, Post edge, and Spire systems.
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