Job Description

Being a member of the Operations, Risk and Control team, you will be part a team that delivers world-class safety and soundness for the global financial services industry. The team provides the portfolio of core securities and superior transaction processing and client services support in an environment that minimizes risk and cost while maximizing efficiency. We are thought partners and advisors to the business, go-getters, and change agents who have a passion for aligning business practices with current laws and regulations.

Job Responsibilities

• Determining how to promptly resolve client inquiries using internal and external resources.
• Contributing to develop/modify procedures and controls in order to reduce risk
• Interacting with participants, paying agents, transfer agents, and other operational areas.
• Responsible for conducting, reviewing, analyzing, resolving, and escalating the results of any manual or automated Office of Foreign Asset Control screening, Section 311 and other compliance/regulatory related screening conducted by the business unit.
• Responsible for supporting the department in adherence to Anti-Money Laundering/ Bank Securities Act policies and procedures as set-forth by various regulatory bodies.
• Interfaces with clients, transfer agents, vendors, various regulatory bodies on a regular basis, as well as internal departments (e.g., Compliance, General Counsel's Office, Underwriting, and Finance).
• Assists management on routine automation/product development functions and in system testing as needed.
• Contributes to management testing process and activities related to audits and risk management, and business continuity as needed.
• Provide support, monitor and research of cash balances (e.g., reconcile bank accounts, monitor, research and balance several internal accounts).
• Provide support, monitor and research of security/position balances (e.g., stock record balancing, client short position monitoring)

Qualifications

• Previous Customer Service experience highly desirable
• Knowledge of the Financial Markets preferred but not necessary
• Ability to work well in a team
• Ability to multitask and use critical thinking strategies
• MS Office products

EOE:

Our client is an Equal Opportunity Employer and Prohibits Discrimination and Harassment of Any Kind: We are committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment. All employment decisions at our client are based on business needs, job requirements, and individual qualifications, without regard to race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, family medical history or genetic information, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. We will not tolerate discrimination or harassment based on any of these characteristics.