Support the Preferred Platform Controls organization to create a best-in-class overall client experience and risk controls environment.
Focus on supporting the Trade Elevation team with identifying escalated risk derived from volatility and real-time market movement while prioritizing and driving strategic initiatives to mitigate risk.
Assist in the execution of internal control discipline and operational excellence within a LOB or ECF.
Execute LOB/ECF specific processes and tools to drive adherence to enterprise-wide Standards.
Support the implementation of QA/QC processes within the LOB/ECF through ongoing monitoring and testing of controls.
Identify issues and/or control improvements for remediation, whilst assisting in building out actions plans and milestones.
Requirements
Series 7, 66,and 9/10 or equivalents are required.
Experience in key areas outlined: Margin, Equities, and Options
3 or more years work experience in financial services
Understanding of Merrill Edge clients and business
Demonstrates leadership, leading through change and process improvements to deliver results
Strong analytical capability to drive root cause analysis, demonstrate attention to detail, deliver concise and value added reporting
Demonstrated creative resolution development, problem solving, and follow up skills
Self-starter able to work independently, with minimal oversight and guidance
Ability to quickly develop subject matter expertise across a broad spectrum of issues
Strong organization skills, including the ability to manage multiple responsibilities, prioritize and meet deadlines
Advanced in MS Excel functions
Ability to shift priorities on short notice
Solid presentation skills
Provide statistical analysis to identify trends and outlier metrics