Senior Analyst, Customer Protection - Toronto
2 weeks ago
Job summary
The Senior Analyst will provide central governance and oversight of projects, change requests and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4300) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI).Responsibilities
- User acceptance testing program of seg related system and workflow testing efforts; enforcing best practices testing protocol for each change.
- Daily Possession and Control (15c3-3 and 4300) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds.
Job description
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