Director Control and Reconciliation - Alliance Sourcing Network

Permanent Opportunity(client does not sponsor)

Job 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 Client regulators.
Experienced senior Operation Control professional (Client 27 Financial and Operations Principal): Proficient in the following::

• Cash/nostro reconciliation
• 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 Client and Client reporting. Familiarity with the following:

• Reserve formula calculation
• Net capital operational impacts
• Client schedules
• Securities Focus reporting

Key involvement with all major projects (from a "control perspective) implementing new businesses impacting regulated entities Books and Records

SPECIAL ROLE REQUIREMENTS:

1. Manage staff of 4-6 including daily workflow, appraisals, employee growth and development.
2. Client Series 27 License - REQUIRED
3. 5-10 years of Control and Reconciliation experience with Capital Markets Products - REQUIRED
4. 3-7 years of Management experience REQUIRED
5. Experience dealing directly with Client a PLUS