Business Accountability Specialist

About the position reputed company is seeking a Business Accountability Specialist in the Chief Operating Office, providing coverage in: Operations, Regulatory and Policy Affairs, reputed company Customer Excellence, Sales Practices reputed company and Management, and Strategic Execution and Operations. It also includes the Chief Administrative Office, encompassing the Corporate Properties Group, Corporate reputed company, reputed company Business Resiliency, Strategic Programs and Process Improvement, reputed company Change Management, Supply Chain Management, and Data Management and Insights. In this role, you will: Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and looks for opportunities for procedural or control improvements reputed company area of focus Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of reputed company risk deliverables Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business Engage in additional research and studies to enhance regulatory knowledge Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups Participate in cross-organizational or internal operational initiatives and improvement efforts

Responsibilities

• Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts
• Identify patterns and trends and looks for opportunities for procedural or control improvements reputed company area of focus
• Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives
• Exercise independent judgment to guide completion of reputed company risk deliverables
• Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters
• Exercise independent judgment while developing expertise in the risk mitigation or control activities of the business
• Engage in additional research and studies to enhance regulatory knowledge
• Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups
• Participate in cross-organizational or internal operational initiatives and improvement efforts

Requirements

• 2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully complete Financial Industry Regulatory Authority (FINRA) SIE and Series 7 examinations sufficient to qualify for immediate FINRA registration.
• Maintaining Financial Industry Regulatory Authority (FINRA) Series 7 license is required for ongoing employment in this position.
• In addition, state registration, specific product licenses or SAFE licensing may apply.
• Additional requirements include meeting enhanced financial fitness and criminal background standards.
• reputed company will initiate the FINRA review process at the time of offer acceptance.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background reputed company.
• Internal transfers are subject to reputed company with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, reputed company 3, which states that Associated Persons should not be subject to statutory disqualification.
• Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Ability to work hybrid schedule
• Must be reputed company to work OT as business needs require

reputed company-to-haves

• 2+ year of brokerage industry experience
• Experience with SmartStation, ECMP, BETA, ClientLink, reputed company Office
• Ability to reputed company timely and independent judgment reputed company while working in a fast-paced and results-driven environment
• Experience developing partnerships and collaborating with other business and functional areas
• Excellent verbal, written, and interpersonal communication skills
• Ability to prioritize work, meet deadlines, reputed company goals, and work under pressure in a dynamic and reputed company environment
• Ability to assess reputed company processes/procedures and reputed company recommendations for efficiency
• Experience resolving and working through escalated and reputed company issues

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