Job Summary & Mission:|
The Control Officer is responsible for performing delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with firm risk management guidelines and policies. As the Control Officer, you may be responsible for performing as delegated certain operation's functions for the complex. In addition, you may be responsible for managing a Control Analyst if one is warranted.
You will be responsible for managing Compliance, Legal and Regulatory Matters:
Anticipate Risk - Keep up-to-date with FAs; monitor daily activity for compliance; communicate policies to Branch staff to uphold rules and regulations of the Firm and regulatory agencies; stay aware of new, frequent, and complex changes; assist BOM with sales responsibilities and the development of Branch policies, procedures, and standards; follow self-audit procedures of Branch; keep others informed of potential problems and actions taken to circumvent or remedy them.
Control Risk - Review daily trade tickets, trade monitor, and quarantined email; surface issues to BOM; review documents regularly (e.g., outgoing correspondence and mail, new accounts, client requests and complaints); monitor legal and Human Resources risks and assist BOM with resolving potential issues; complete monthly compliance reports; approve error corrections, prepayments, extension requests, and waivers of proof of ownership; ensure proper registration; collaborate with Asset Protection for pre-trade and pre-hire.-Ensure efficient Compliance policy and Control initiative rollouts.
- A minimum of 5 years recent work experience as a Business Risk Specialist specifically from a Financial Services firm
- Series 7, 8 or 9, 10, 66, Insurance
- Candidate must be proficient with Microsoft Suite Applications, including Outlook, Excel, Word and Powerpoint. Also working knowledge of Bloomberg a plus.
- Proven management and decisions making skills a must
- Prior experience in managing and development of staff to create a positive branch business culture
UBS - 10 months ago
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