Director/Senior Manager, Prime Services Risk And Control
LocationNew York, NY
- Experience in developing and maintaining written procedures that define the supervisory process the firm implements to comply with the Securities rules and regulations.
- Experience in tailoring written supervisory procedures to the firm, its products, offices and supervisory personnel
- Strong written and verbal communication skills, ability to guide decision making process and facilitate consensus
- Experience (3-5) years in drafting and updating procedural documents, e.g., Policy documents, Trading manuals, Standard Operating procedures, etc.
- Ability to network, collaborate, and interview Traders, Supervisors and other stakeholders to attain necessary information for drafting written supervisory procedures (“WSPs”)
- Effectively resolve differences in professional opinion encounters
- Knowledge of trading process, trading expertise to effectively interpret input from Traders and Subject Matter Experts (“SMEs”)
- Past experience of working with FINRA regulations and familiarity with latest laws
- Ability to perform impact assessment within and across WSPs based on changes and updated to a document in revision