Business Controls Analyst

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Job description

About Client:

The client is a global investment and advisory financial services firm that engages in investment banking, asset management, capital markets services, and insurance services. It's commitment is to advance the strategic interests of our clients and to deliver long-term results with excellence and integrity. The client help governments, institutions, and individuals address complex financial challenges, identify opportunity, and achieve their long-term objectives.

Rate Range: $42-$44/Hr

Job Description:

Business Control Group is responsible for the delegate supervisory oversight of Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures.

BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense.

When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners to determine the appropriate resolution for the matter.

The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.

Responsibilities:

Analyze trading activity

Perform, develop, and maintain surveillance reviews

Identify potential risks for the Firm and escalate the matter to a designated manager

Generate ad-hoc reports, perform data analysis, and provide direction to Business Unit personnel, where appropriate

Support aspects of planning and executing projects to assist the Firm in complying with regulatory requirements

Appropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding clients, reputation, and regulatory footprint

Participate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departments

Qualifications:

Bachelor's degree; experience in a financial services firm, regulatory organization, or a combination thereof

Knowledge of broker-dealer related SEC and Client rules

A strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects

Trading floor experience (trade support, controls/compliance)

Series 7, 55, 63, 24, 4 preferred

Ability to review and analyze supervisory trade surveillance reports

Understanding of trading systems, Client CAT, Client Gateway

Excellent research and analytical skills

Excellent written and verbal communication skills

Self-starter, flexible, innovative and adaptive

Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

Ability to navigate a complex organization by working collaboratively with regional and global partners in other functional units

Willingness to work in a fast paced environment with a positive attitude

Proficiency in MS Office applications (Excel, Word, PowerPoint)

Non-benefitted (other than those mandated under state or federal law).Please note that this position does not include paid time off benefits. ApTask offers subsidized insurance coverage to our employees.

About ApTask:

ApTask is a leading global provider of workforce solutions and talent acquisition services, dedicated to shaping the future of work. As an African American-owned and Veteran-certified company, ApTask offers a comprehensive suite of services, including staffing and recruitment solutions, managed services, IT consulting, and project management. With a focus on excellence, collaboration, and innovation, ApTask provides unparalleled opportunities for professional growth and development. As a member of the ApTask team, you will have the chance to connect businesses with top-tier professionals, optimize workforce performance, and drive success across diverse industries. Join us at ApTask and be part of our mission to empower organizations to thrive while fostering a diverse and inclusive work environment.

Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.

Candidate Data Collection Disclaimer:

At ApTask, we prioritize safeguarding your privacy. As part of our recruitment process, certain Personally Identifiable Information (PII) may be requested by our clients for verification and application purposes. Rest assured, we strictly adhere to confidentiality standards and comply with all relevant data protection laws. Please note that we only collect the necessary information as specified by each client and do not request sensitive details during the initial stages of recruitment.

If you have any concerns or queries about your personal information, please feel free to contact our compliance team at .

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