Associate, Customer Protection

Job Description

What is the opportunity?

• The Customer Protection Control team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4311) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI).
• This role will call for the performance of daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance.
• Additionally, the role will entail periodic risk metrics reporting, active participation in numerous projects and special initiatives, assisting department management with Regulatory, Compliance and Audit inquiries, and assisting the team with its user acceptance testing (Compliance related system and workflow enhancements) responsibilities.
• The person who fills this role will be expected to ...