Regulatory Operations Analyst - Secure Room Analyst

Job Description:

Job Title Regulatory Operations Analyst - Secure Room

Corporate Title Analyst

Location Jacksonville FL

Overview

The Corporate Trust Operations Secured Room role is responsible for releasing checks to the vendor for printing, printing bonds, Anti-Financial Crime reviews, reconciliations and service validations, document safekeeping, review of internal recordkeeping systems for security principal payments, exchanges, transfers, reregistration's and replacements as required by Securities and Exchange Commission (SEC) regulation. The role involves time critical, complex and regulated tasks (Control Book, Reg AB, and bond disposition) and working with internal and external parties. Responsible for ad-hoc projects including user access testing, production verification testing and process improvement evaluation and implementation.

• A diverse and inclusive environment that embraces change, innovation, and collaboration
  
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
  
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
  
• Educational resources, matching gift and volunteer programs
  

• Responsible for ensuring timely, complete and accurate processing of transactions (including performing all relevant controls) within own area of responsibility
  
• Applies all internal and external policies/guidelines and requirements of the regulators and to agreed Service Level Agreements (SLAs), key risk indicators (KRIs) and/or Key Performance Indicator (KPIs) and quality measures
  
• Where appropriate, builds and maintains relationships with front office clients to provide a point of contact within the Operations functional team for time critical, complex or regulated tasks in particular
  
• Ensures the escalation of operational, regulatory and other risks to line manager and functional leads as appropriate; contributes to the development and implementation of mitigation or control solutions
  
• Participates in periodic reviews of the efficiency and effectiveness of operational processes within own area of responsibility to identify opportunities to eliminate waste and improve efficiency and performance
  
• Works effectively within own team, providing support and guidance to colleagues to create and foster an environment of continuous improvement
  

• The ability to understand process flows and apply relevant controls and an understanding of risk mitigation
  
• Basic analytical skills, disciplined approach to problem resolution with minimal supervision, flexibility to prioritize and support workloads from multiple teams and good written and verbal communications
  
• Ability to work individually and on a team a diverse, fast-paced work environment, keep pace with technical innovation and maintain a broad understanding of the GBS offering
  
• Open minded, able to share information, transfer knowledge and expertise to team members, while following procedures and policies
  
• Intermediate computer literacy including mid-level proficiency in MS Excel, Word, PowerPoint and Access applications
  

• Soft skills example: excellent communication skills, both written and spoken
  
• Excel knowledge
  
• Organized
  
• Self-starter / self-motivated