Senior Manager – Capital Markets Governance & Compliance – Broker Dealer Compliance

Senior Manager – Capital Markets Governance & Compliance – Broker Dealer Compliance

Requirements

• FINRA examiner background with broker dealer experience including SEC 15c3 experience
• Strong understanding of broker dealer operations and SEC/FINRA regulations
• Typically between 5 – 7 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience
• Working knowledge of business and regulatory environment is required
• Deep knowledge and technical proficiency gained through extensive education and business experience

Responsibilities

• Develops or maintains an effective financial governance and controls framework
• Acts as a trusted advisor on governance matters
• Influences and negotiates to achieve business objectives
• Recommends and implements Financial governance solutions based on analysis of issues and implications for the business
• Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes
• Assists in the development of strategic plans
• Identifies emerging issues and trends to inform decision-making
• Leads or assists in the execution of oversight/governance activities
• Leads or assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences
• Supports the development, evolution and maintenance of the governance system and framework
• Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards
• Designs and produces regular and ad-hoc reports, and dashboards
• Leads the management of governance meetings and maintains maintenance of governing body mandates, oversight and approval guidelines
• Leads the interpretation of new or changing regulations and assessing impacts to the governance framework
• Provides advice and guidance to assigned business/group on implementation of the governance framework, including effective challenge
• Coordinates and participates in the execution of oversight/governance activities including: reporting, assessment of education & training needs, development/delivery of training, development and execution of regulatory administration processes & procedures, management of review/updates to policies, etc.
• Supports policy/standard/operating procedures lifecycle management, education and training assessment, development & delivery, coordination of attestation programs, reporting, etc.
• Assists with the interpretation of new or changing regulations and assessing impacts to the governance frameworks and program requirements
• Develops and maintains in-depth knowledge of business and related risk management requirements and legislative/ regulatory directives and guidance
• Supports the group/program leader in communicating advice across the Bank on regulatory environment changes to ensure changes are understood
• Supports the management of governance meetings (e.g. committee, management, board meetings, etc.) as required; facilitates development and approval of agendas, gathering and distribution of documentation related to agendas, and creation of meeting minutes/output
• Supports development and execution of strategic initiatives in collaboration with internal and external stakeholders
• Assists with the coordination and management of the review and sign-off of relevant regulatory reporting

Preferred Qualifications

• Control framework knowledge & experience preferred e.g. SOX 404, COBIT and COSO frameworks
• Verbal & written communication skills – In-depth
• Collaboration & team skills – In-depth
• Analytical and problem solving skills – In-depth
• Influence skills – In-depth
• Data driven decision making – In-depth