LOB Specific Description:
The Ops Sr Analyst role on the Regulatory Processing team is tasked with ensuring processing and operational adherence to several broker-dealer regulations. Specifically, the role requires ownership of the close-out requirement of Reg SHO 204d. This job is fast-paced, has very tight deadlines, and heavy operational and market risk. This role requires a functional knowledge of the Reg SHO process and the effective execution of regulatory requirements. This requires a working knowledge of the regulation, operations, effective communication, and conflict resolution. Additionally, this role involves processing functions to ensure that Reg SHO obligations are being actioned accurately, timely, and effectively. An important component of the role involves collaboration with various LOB’s to ensure execution avoidance, as well as to increase the efficiency of the role. Additionally, the role requires appropriate identification, research, escalation, and remediation of processing/operational issues. Responsibilities:
Daily processing includes tracking client responses to regulatory obligations, performing executions, reviewing data and research for execution processing, communicating with clients, providing metrics, Excel, DTC, increasing efficiency, and solving escalated issues. Enterprise Role Overview:Follows established written procedures and guidelines, provides technical and analytical support in a global markets operations support function for one or more operations product areas. Uses established techniques to analyze and resolve complex operations support problems/initiatives requiring exception handling and/or coordination of multiple operational and/or product/services specialists to resolve. May assist in managing projects and/or introduction of new initiatives, systems, products and services and processes coordination across multiple operations functions. Employees will have college degree (Associates or higher) or comparable work experience.Required skills include: expert Excel knowledge, detail orientation, ability to manage multiple priorities and multi task, excellent time management and prioritization skills, with ability to meet tight deadlines, ability and willingness to continuously learn on the job, ability to problem-solve and take ownership of process improvements, ability to work in a team environment, excellent verbal and written communication skills with ability to communicate with various stakeholders. Desired skills include: Business, Finance, Accounting, Economics, or similar major preferred and a basic understanding of and/or experience in financial service industry. To be used for employees in Global Markets only. Required Skills:
(Must have these skills to be minimally qualified)
- Prior processing experience.
- Prior Excel experience.
- Detail Oriented with strong time management and prioritization skills
- Ability to multitask in a high volume/fast paced environment and meet tight deadlines
- Ability to manage escalations and solve complex issues
- Ability to multitask.
- Intellectual curiosity.
- Ability to manage stress.
- Critical problem-solving skills.
- Ability to make quick decisions.
- Ability to learn quickly.
- Positive attitude.
- Appetite to learn quickly and ask questions.
- Prior DTC experience.
- Knowledge of Stock Loan operations.
- 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.