Crédit Agricole CIB
Director, Head of Control and Reconciliation for Capital Markets Operations
Crédit Agricole CIB, Woodbridge, New Jersey, United States
Director, Head of Control and Reconciliation for Capital Markets Operations
Base pay range
$170,000.00/yr - $225,000.00/yr
Note: This role is located in Iselin, Metropark, NJ
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:
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:
Net capital operational impacts
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 – REQUIRED
Experience dealing directly with FINRA a PLUS
Qualifications/Education Required:
Bachelor's Degree required - (any discipline)
Ability to manage upward and provide support to front line business staff. Preferred.
Experience Required:
7-10 years business/management exp
3-7 years of Control and Reconciliation Experience
Prior experience dealing with FINRA a PLUS
FINRA SERIES 27 Registration
Proficiency in Microsoft Desktop applications
Any other relevant information:
Role is in the Iselin, Metropark NJ Office
Seniority level
Director
Employment type
Full-time
Job function
Other
Industries
Capital Markets and Investment Banking
#J-18808-Ljbffr
$170,000.00/yr - $225,000.00/yr
Note: This role is located in Iselin, Metropark, NJ
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:
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:
Net capital operational impacts
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 – REQUIRED
Experience dealing directly with FINRA a PLUS
Qualifications/Education Required:
Bachelor's Degree required - (any discipline)
Ability to manage upward and provide support to front line business staff. Preferred.
Experience Required:
7-10 years business/management exp
3-7 years of Control and Reconciliation Experience
Prior experience dealing with FINRA a PLUS
FINRA SERIES 27 Registration
Proficiency in Microsoft Desktop applications
Any other relevant information:
Role is in the Iselin, Metropark NJ Office
Seniority level
Director
Employment type
Full-time
Job function
Other
Industries
Capital Markets and Investment Banking
#J-18808-Ljbffr