A large institutional banking client is looking for a Client Asset Control Analyst to join the Client Asset Control group within Global Banking and Markets operations. This team is responsible for overseeing the 15c33 SEC Rule, specifically for equities and fixed income. This person will be joining the team to support the existing operational work in addition to testing performance/accuracy of current processes. Responsibilities will include:
- Developing deep product and operational knowledge of post trade SEC regulatory rules across multiple products and jurisdictions within global markets for institutional and PWM clients
- Track and manage deficits in client accounts and provide proper resolution/remediation depending on the component of the rule
- Follow internal and external timelines to for the SEC rule
- Assist in the QA processes within the team, which entails sampling data through existing test scripts. Depending on the findings, this person will open an audit issue or implement a technology change.
- They will also be a part of end to end reviews of current processes to identify areas for additional tech enhancements. They will be digging into processes they can improve.
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Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.