Job Summary: As the RCSA (Risk Control Self-Assessment) Execution Lead, you will play a critical role in ensuring compliance with supervisory procedures and FINRA regulations within the Corporate Investment Banking domain. Your primary responsibility will be to rewrite and enhance supervisory procedures related to trades, corporate clients, and institutional clients. These procedures are essential for effectively supervising traders and maintaining regulatory compliance.
Qualifications:
Supervisory Procedures Writing: You must have experience in writing and revising supervisory procedures.
Familiarity with FINRA Regulations: A strong understanding of FINRA regulations is crucial for this role.
Compliance Background: Candidates with a compliance background will be well-suited for this position.
Independent Risk Management Experience: Experience in independent risk management is helpful.
Strong Communication Skills: Effective communication is essential for collaborating with various stakeholders.
MS Office Proficiency: You'll be using MS Word to document and publish procedures.
FINRA Registrations (Preferred): While not required, having FINRA registrations is a significant advantage.
Responsibilities: In this role, you will:
Write, Review, and Publish Documentation: You'll create and enhance Markets Division documentation, focusing primarily on supervisory procedures.
Ensure Timely Completion and Quality: You'll be responsible for meeting deadlines and maintaining high-quality standards.
Identify Process Improvement Opportunities: Continuously seek ways to improve risk control processes.
Adhere to Policy and Regulatory Requirements: Ensure compliance with all relevant policies and regulations.
Complete Required Assessments and Training: Participate in assessments, exercises, and training as required by Bank Policies and Audit guidelines, including Business Continuity Planning.
Contact: rwest@judge.com
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