Associate, Customer Protection

Overview

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 perform daily compliance monitoring functions, conduct root cause analysis, enforce best practices, and manage reporting of risk exceptions and operational performance. It will also involve periodic risk metrics reporting, active participation in projects and initiatives, assisting department management with regulatory, compliance and audit inquiries, and supporting user acceptance testing for compliance-related system and workflow enhancements. The role requires effective collaboration across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance), and with senior stakeholders and team leads....