SUMMARY

Head of Control and Reconciliation Operations for Capital Markets is responsible for the day to day operations of the Capital Markets Back office Control and Recon unit. Individual must have strong management experience, Series 27 License and multiple years of Capital Markets experience. This individual must have experience facing off with FINRA regulators.

Experienced senior Operation Control professional (FINRA 27 Financial and Operations Principal):

• Proficient in the following:
• Cash/nostro reconciliation
• GL reconciliations/certifications
• Stock record/Depot reconciliations / Quarterly counts
• Fail Control -aging/analysis
• Suspense tracking
• 15a6 fail tracking/reconciliation and reporting
• Broker Dealer statement/confirm control
• Experience interfacing/point of contact with CFO office on validation on “operational” data impacting Federal Reserve and FINRA reporting.
• Familiarity with the following:
• Reserve formula calculation
• Net capital operational impacts
• Federal Reserve schedules
• Credit Agricole Securities Focus reporting
• Key involvement with all major projects (from a “control” perspective) implementing new businesses impacting regulated entities Books and Records

SPECIAL ROLE REQUIREMENTS

• Manage staff of 4-6 including daily workflow, appraisals, employee growth and development.
• FINRA Series 27 License - REQUIRED
• 5-10 years of Control and Reconciliation experience with Capital Markets Products - REQUIRED
• 3-7 years of Management experience – REQUIREDExperience dealing directly with FINRA a PLUS
• 
  Salary Range: $170k-$225k