Operations Quality Assurance

Group Overview

It is our goal within Stock Reconciliation (SR) to reconcile
securities in accordance with SEC regulations. Our focus is on
working with our business partners to analyze and provide solutions
to exceptions identified as well as working on projects that address
regulatory and/or risk issues.


Position Description

Stock Reconciliation department is looking for a Quality Consultant
who will be responsible for reviewing the reports completed by team
specialists on a daily, weekly, bi-monthly and quarterly basis. The
Quality consultant will perform, but is not limited to, the following
functions: Reviewing reports, updating procedures, recommend
improvements to the day to day functions, report information to
management, metrics reporting, and monitoring of regulatory deadlines.


Requirements

3+ years of Brokerage Operations experience with a focus on
oversight or audit function. Knowledge of SEC and NASD rules.

Excellent organizational skills and attention to detail.
Series 7 and 63 preferred.
Proven ability to identify gaps in controls and procedures
Knowledge of applicable rules and regulations.
Proven experience with verbal and written communication to
management.
REQUIREMENTS
operations quality assurance