Senior Manager Controls and Oversight

Job Description

Job Description What is the opportunity? The Senior Manager Controls and Oversight will be responsible to establish and execute controls and supervision for FINRA defined covered functions and contractional SLAs applicable to the department which may include additional regulators on top of FINRA. Incumbent will partner with compliance, Risk. Legal, business groups to design, develop, produce, consult, and execute on a variety of internal and external business and supervisory procedures and key controls. The incumbent is responsible for the creation and execution of internal risk management, as well as collaborating with employees throughout Operations to drive risk mitigation strategies. What will you do? Draft, publish, and execute operational and business risk policies, WSPs, and procedures. Achieve by leveraging Compliance, WM Risk, and Legal advice and by applying trainings and company resources effectively. Establish key requirements to validate controls are embedded into project management milestones and key success factors. Support product reviews by describing processes done and covered functions that are supervised to support the product. Provide signoff which in turn allows Ops to approve or decline product offerings. Validate and evidence RCSA, key controls and WSPs accurately represent functional area processes supported. Act as a strategic business partner by identifying control and supervisory needs and in turn assist with developing, enhancing, and implementing effective compliance programs. This also includes any necessary revision of policies, procedures, and written supervisory procedures. Participate in industry working groups to determine opportunities for implementing industry best practices specific to risk. Support client remediation efforts by completing root cause analyses of control failures and providing recommendations on new controls or controls improvements. Monitor policy exceptions and escalate within reason to make changes or limit exceptions. Provide training, coaching, and mentoring for department managers and other Operations resources, fostering teamwork and knowledge transfer. Deliver training as required to validate efficient Operations’ processing and successful initiative implementation. What do you need to succeed? Must-have 4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 5 years of securities, banking, technology, risk and/or job specific industry experience 5 years prior securities, banking, technology, risk and/or job specific related experience Securities license 99 (or able to obtain license within 120 days) Strong Leadership, facilitation, negotiation, training, and mentoring skills Strong relationship management, change leadership and managerial skills dealing with all parts of platform and all levels of senior management. Nice-to-have Experience and knowledge of broker-dealer operations. Successful track record and ability to influence and lead ot

Required Skills