Specific Role Responsibilities : Responsible for oversight for all margin-related processes, as well as all aspects of Regulation T and FINRA 4210 from an initial and ongoing cash and margin account basis Lead a highly collaborative and cross functional team committed to improve the value of margin services. Analyze processing errors through organized root-cause analysis and drive process improvements. Oversight of margin exceptions, short options exposures, and payments Protect the firm by evaluating intraday / overnight profit and losses and stress tests to identify potential dangers and present protective measures against price fluctuations of client positions. Resolve complex escalations that protect customers and the firm from financial and regulatory risks. Proactively engage with clients regarding their risk and margin methodologies Experience Required : 10+ years of industry-relevant experience in self-clearing broker-dealers with robust margin lending operations Deep understanding of the securities industry and brokerage operations Knowledgeable in Regulation T, FINRA Rule 4210, and SEC Rule 15c3-3 Competency in using various margin tools and systems. In depth knowledge of collateral and securities finance Capability to work under pressure and meet routine deadlines. Strong leadership and interpersonal skills Experience as a margin supervisor or equivalent at a top financial services firm that provides trade, clearing, and custody services to correspondent or introducing broker-dealers. Compensation : Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Location: New York and New Jersey #J-18808-Ljbffr Ajccorp
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