Capital Markets Middle Office Manager 3

Location: Charlotte, NC, United States
Date Posted: 02-10-2018
The ideal candidate 
  • 15+ years of Capital Markets experience
  • 10+ years of management experience within a Capital Markets Division.
  • The individual will provide leadership, decision making, and strategic direction for the Process Review and Enhancement Team within our operations.
  • This function will include building and maintaining a shared utility, but independent controls for: System Access Review, Information Security and Privacy controls, Routine Business Self Assessments (BSA), Independent Process Review and Testing, Record Process Workflows highlighting weaknesses and gaps while recommending enhancements, Regulatory Reporting (INSITE, MSRB, TRACE, SDR, Confirms, etc.), management and reporting of Key Risk Indicators (KRI’s) in Qlikview, Execute Sub Ledger Account Substantiation.
  • Monitor and report weekly all SHRP items, Monitor/Track and monthly report on all Audit items and status, Produce the Monthly MIS Operations Report for the regulators, Disaster Recovery Management, Centralize BCP for our operations and act as the central point of contact with Regulators and Auditors for our operations.
  • The successful candidate will play a lead role in the build-out and management of the Process Review and Enhancement function as well as the selection and implementation of technology platforms and processing solutions where required.
Additional responsibilities include:
•Overall team leadership and team development• 
•Operational relationship management with strategic partners/vendors
•Assist Operations in creating a culture of timely and transparent escalation and communication
•Leadership for related projects and remediation work
•Design and implement operating model changes and be responsible for a robust control environment
•Provide internal counsel to ensure sound processes and controls while offering commercial solutions to the Operations Teams as a whole
•Influence strategic process, individuals and platform decisions
•Metrics (KRI’s) reporting for management
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