Title: Business Analyst (Level III)
Location: 100% Onsite (1100 AVE OF THE AMERICAS, New York, NY, 10036)
Shift: Monday Friday 8:30am - 5pm
Pay rate:
NY - $50.18/hr
FL & NC - $46.18/hr
About Us:
The Client Asset Control Group (CACG) within the Americas (AMRS) region is part of the Global Markets Operations team. We provide comprehensive oversight of customer protection regulatory requirements across two SEC-registered broker-dealers. Our mission is to ensure regulatory compliance and operational excellence in a dynamic and fast-paced environment.
Job Summary:
As a Client Asset Control Group (CACG) Specialist, you will act as a subject matter expert (SME) and liaison for front office and operations partners. Your focus will be on the treatment of custody, processing flows, and new business proposals under US broker-dealer regulatory customer protection rules, particularly SEA Rule 15c3-3: Possession or Control. You will support large-scale change initiatives and play a crucial role in assessing risk and control environments.
Responsibilities:
- Assess the design and effectiveness of risk and control measures supporting Global Data and Reporting Operations.
- Ensure adherence to enterprise-wide standards.
- Support monitoring and testing of controls by evaluating data to identify issues and improvements.
- Implement optimized controls and enhanced Quality Assurance (QA) practices to support business continuity.
- Conduct quality inspection reviews to enhance employee performance and control effectiveness.
- Execute QA activities, manage cases, and report results.
Experience:
- 5+ years in US Broker Dealer operations, front office, or related regulatory/compliance expertise.
- Previous experience with DTC settlement and the Customer Protection Rule / SEA Rule 15c3-3.
- Working knowledge of equities clearing, broker dealer operations, and Securities and Exchange Act Regulations.
Skills:
- Strong analytical and critical thinking abilities.
- Exceptional attention to detail and problem-solving skills.
- Effective written and verbal communication skills, comfortable presenting to senior stakeholders.
- Ability to work independently and manage time effectively.
- Innovative mindset with the ability to challenge current processes and drive improvements.