Overview
On Site
70.28/hr - 79.19/hr
Full Time
Skills
Financial Services
Finance
Evaluation
Microsoft Excel
Microsoft Outlook
Microsoft PowerPoint
Middle Office
Trading
Testing
Auditing
Quality Assurance
Regulatory Compliance
Supervision
Job Details
Outstanding long-term contract opportunity! A well-known Financial Services Company is looking for a WSP/Business Execution Consultant in New York, NY or Charlotte, NC(Hybrid).
Work with the brightest minds at one of the largest financial institutions in the world. This is a long-term contract opportunity that includes a competitive benefit package! Our client has been around for over 150 years and is continuously innovating in today's digital age. If you want to work for a company that is not only a household name, but also truly cares about satisfying customers' financial needs and helping people succeed financially, apply today.
Contract Duration: 4 Months
Required Skills & Experience
Work with the brightest minds at one of the largest financial institutions in the world. This is a long-term contract opportunity that includes a competitive benefit package! Our client has been around for over 150 years and is continuously innovating in today's digital age. If you want to work for a company that is not only a household name, but also truly cares about satisfying customers' financial needs and helping people succeed financially, apply today.
Contract Duration: 4 Months
Required Skills & Experience
- Experience with WSPs (written supervisory procedures)
- Ability to audit controls and processes (analyzing gaps in effectiveness)
- Risk/ control evaluation
- Q&A process testing
- Understanding of trade regulations
- MS platforms (Excel, outlook, word, PowerPoint)
- Middle office operations experience - understanding of the business and trading products (desired but not required
- Consulting
- Auditing, testing, and validating the process/ execution of written supervisory procedures (WSPs).
- Leverage internal tools to create a mini-audit system to identify and house the controls and escalation flows once an WSP is triggered to ensure its effectiveness.
- Support our Supervisory Framework
- Perform QA of processes defined in Written Supervisory Procedures (WSPs)
- Identify opportunities to harmonize supervisor processes
- Define requirements to enhance evidencing of supervisory processes
- Design and implement monitoring controls or processes
- Perform analysis of required data components for control activities to automate where feasible
- Execute control activities in BAU and partner with business counterparts to escalated identified exceptions
- Communicate and train employees for new and/or enhanced related controls
- Maintain supervision standards, procedures, standards
- Assist with development and BAU execution of controls including
- Partner with 2LoD Compliance to review Market Conduct & Supervision related procedures
- Generate ad-hoc reports and materials to communicate control outcomes and other key metrics
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.