Client Asset Controls Manager
Salary $100000 - $130000 per year + Medical +Dental +Vision
Consultant Marco Maranzano
Date posted June 24, 2017
An opportunity has arisen for a Client Asset Controls Manager to join a professional services organisation based in Jacksonville, Florida. You will be responsible for working for the Director in the US Client Asset Controls activities.
- Managing, performing critical daily processes and reporting and controls for SEC 15c3-3 Client Protection
- Possession or Control reporting daily sign-off, including but not limited to upstream and downstream impacts with the ability to interact as a lead expert with regulators
- Prepare Possession or Control updates for senior management
- Proven skills in managing SEC 15c3-3 deliverables and negotiating with key stakeholders to achieve timely and positive outcome
- Demonstrated capability of understanding complex business and regulatory concepts
- Proven SEC 15c3-3 experience and U.S. Broker Dealer Industry experience a must
- Proficient in Excel and VISIO functions (i.e. pivot tables, formulas, process flows)
- Job requires the Series 99 (Operations Professional) or other qualified license as outlined by FINRA, and performs one or more covered functions on behalf of a broker/dealer
If you are interested in this exciting opportunity please contact me or click to apply.