521 Business Analyst (Level III) Jobs in New York, NY
Talent Software services is Hiring a Business Analyst (Level III) Near New York, NY
Manager primarily needs candidate in NY but is open to the below locations.
They will need to be local to the core site as it will be required to be on site for the job. PLEASE MAKE SURE TO PUT LOCATION ON TOP OF RESUME!
Jax, FL/FL9-200-01-12 . BR- ***
Charlotte, NC/ NC1-022-07-30 . BR ***
Manager needs someone with 3 or more years experience. Would really prefer someone with 10.
SEA Rule 15c3-3 required!
Description:
The role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG AMRS is a Global Markets Operations team which provides front-to-back oversight of customer protection regulatory requirements across two *** SEC registered broker dealers.
The role will serve as an individual contributor, acting as a subject matter expert (SME) and liaison for front office and operations partners regarding firm specific queries on treatment for custody, processing flows and/or new business proposals under the US broker dealer regulatory customer protection rules, with specific focus on SEA Rule 15c3-3: Possession or Control. The role will support large scale change initiatives.
Responsibilities:
- Assess the design and effectiveness of the risk and control environment to support Global Data and Reporting Operations and ensure adherence to enterprise-wide standards
- Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
- Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
- Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness
- Performs QA activities including executing on controls, managing cases, and reporting results
- Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success
- Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting
- Work with Possession or Control and Regulatory Reporting teams to ensure systems and connected processes operated within requirements.
- Liase with front office lines of business on new product designs with impact to client seg and rehypothecation process.
- Provide audit assistance and guidance during internal/external reviews of segregation process.
- Support internal process training to key stakeholders infrastructure
- Controls Management - Previous experience with DTC settlement and the Customer Protection Rule / SEA Rule 15c3-3.
- Issue Management
- Monitoring, Surveillance, and Testing
- Risk Management - 5 years of experience in US Broker Dealer operations or front office or related regulatory/compliance expertise.
- Quality Assurance - Working knowledge of equities clearing, broker dealer operations, and Securities and Exchange Act Regulations.
- Analytical Thinking
- Attention to Detail
- Critical Thinking
- Problem Solving - Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate.
- Written Communications - Presentable, confident and client focused. Comfortable leading meetings, creating presentation documents, and speaking to senior stakeholders.
- Recording/Organizing Information
- Decision Making
- Innovative Thinking - Ability to work collaboratively and challenge current processes in clear, logical manner.
- Prioritization
- Research
- Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
- Excels in working among diverse viewpoints to determine the best path forward
- Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner
- Commitment to challenging the status quo and promoting positive change.
- Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
- Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world?
Job Summary
Full Time
IT Outsourcing & Consulting
$110k-137k (estimate)
06/02/2024
12/03/2024
talentemail.com
Minneapolis, MN
50 - 100
IT Outsourcing & Consulting
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The job skills required for Business Analyst (Level III) include Problem Solving, Initiative, Written Communication, Presentation, Quality Assurance, Attention to Detail, etc. Having related job skills and expertise will give you an advantage when applying to be a Business Analyst (Level III). That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Business Analyst (Level III). Select any job title you are interested in and start to search job requirements.
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