Senior Analyst, Customer Protection
Listed on 2026-02-01
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Finance & Banking
Job Description
Senior Analyst, Customer Protection Team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4300) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI). This role will call for the performance of the user acceptance testing program of seg related system and workflow testing efforts, enforcing best practices testing protocol for each change.
Additionally, the daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance. The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and directly with various senior stakeholders / team leads.
Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department.
departmental and daily/weekly/ad-hoc management reports.
Assist in the fulfillment of CP Related regulatory/audit inquiries / reviews.
Fulfill applicable Monthly FOCUS Reporting (US only) requirements. Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues.
Perform daily monitoring activities with respect to assigned BPS user entry authorizations.
Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS.
Additionally, the role will entail periodic risk metrics reporting, active participation in numerous projects and special initiatives, assisting department management with Regulatory, Compliance and Audit inquiries, and assisting the team with its user acceptance testing (Compliance related system and workflow enhancements) responsibilities.
What is the opportunity?Senior Analyst, Customer Protection Team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4300) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI). This role will call for the performance of the user acceptance testing program of seg related system and workflow testing efforts, enforcing best practices testing protocol for each change.
Additionally, the daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance. The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and directly with various senior stakeholders / team leads.Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department.
Prepare departmental metrics and daily/weekly/ad-hoc management reports.
Assist in the fulfillment of CP Related regulatory/audit inquiries / reviews.
Fulfill applicable Monthly FOCUS Reporting (US only) requirements. Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues.
Perform daily monitoring activities with respect to assigned BPS user entry authorizations.
Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS.
This role will call for the performance of daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance.
Additionally, the role will entail periodic risk metrics reporting, active participation in numerous projects and special initiatives, assisting department management with Regulatory, Compliance and Audit inquiries, and assisting the team with its user acceptance testing (Compliance related system and workflow enhancements) responsibilities.
The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology,…
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