Senior Analyst, Customer Protection

Overview

Job Description

What is the opportunity?

• The Senior Analyst, Customer Protection 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 4300) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI). This role will call for the performance of the user acceptance testing program of seg related system and workflow testing efforts, enforcing best practices testing protocol for each change. Additionally, the daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance. The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and dir...