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Capital Markets Middle Office Manager 2 - Operations Control Group

Charlotte, North Carolina · Accounting/Finance
General Summary
Excellent Company looking to add a member to their team!

Duties & Responsibilities:
This position is a Capital Markets Manager on the Operations Control Group, supervising the Records Management Program for our company Securities Operations. The individual will work closely with Operations team members and business partners to ensure official records are identified, validated, controlled and stored in a manner that is compliant with regulations, as well as the company’s Enterprise Records Management Policy. Scope will cover multiple legal entities and multiple registered entities, including activities of a Swap Dealer, Future Commission Merchant (FCM), Prime Broker and Broker-Dealer
This individual will Partner with Project Management Compliance, Operational Risk, Legal, Business Management, Finance, Technology and others to connect business ownership and needs with broader organization goals and strategic initiatives. The candidate will influence implementation committees, steering committees and implementation groups on behalf of the company’s Securities Operations based on feedback from Operations partners and disseminate clear information back to Operations from these groups. The role may Extend into activities surrounding testing, training, change management, preventative and detective control reviews and other critical functions of a records management program

A thorough understanding of the books and records rules of the Securities Exchange Commission (SEC), Financial Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Municipal Securities Rulemaking Board (MSRB), Exchanges (exp. Chicago Mercantile Exchange, Chicago Board of Trade), National Futures Association (NFA) and other entities and governing bodies is required. The candidate will use industry and regulatory knowledge to guide stakeholders through seamless adherence to regulatory and enterprise standards, providing suggestions for process improvements and risk mitigation as the program develops. Experience leading successful large-scale programs across multiple disciplines is required
Team members support our focus on building strong customer relationships balanced with a strong risk migrating and compliance-driven culture which family establishes those disciplines as critical to the success of our customers and company. They are account for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following an adhering to applicable Company policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.
Required Work Experience, Qualifications &/or Education:
  • GroupBox 1
  • 7+ years of capital markets industry experience
  • 3+ years of management experience
  • 5-10 years’ experience
Desired qualifications
  • Extensive math skills
  • Strong analytical skills with high attention to detail and accuracy
  • Other desired qualifications
  • Groupbox 1
  • Leadership of a team, process or division, with proven success developing team
  • 10+ years’ experience in Capital Markets, with 5+ years supporting an Operations division
  • Must have a 4yr College Degree in Business, Finance or Economics, or equivalent experience
  • Expertise in U.S. regulations, particularly for Systemically Important Financial Institution (GDIFI), from an Operations perspective, with familiarity of global regulations
  • Expertise in CFTC 1.31 and SEC 17a-4
  • Experience with large-scale implementations impacting multiple asset-classes and divisions
  • Superior ability to organize verbal and written communication to clarify purpose and importance, stress major points and follow a logical sequence
  • Proficiency with business concepts, including regulatory risk, with a balance of attention to detail with timely execution
  • Ability to work effectively in a demanding, fast-paced, dynamic environment, handling multiple tasks and projects concurrently, while maintain the highest standard of excellence
  • Experience in a regulatory oversight role, particularly one that regularly interacted with regulators
  • Experience challenging the status quo while maintain relationships with business partners

All offers for employment with our company are contingent upon the candidate having successfully completed a criminal background check. Our company will consider qualified candidates with criminal histories in a manner consistent with the requirement of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
***Excellent Salary – Depending Upon Experience
***Full-time Position
***US Citizen or Permanent Resident

Sponsor/Transfer H-1B and/or H-2B: NO
Accept Current Year Residents: NO
Sponsor/Transfer Work Permits: NO

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