Broker-Dealer Expert

Job Description Job Description Job Title : Broker-dealer Expert Industry: Banking Location : New York, NY Duration : 12-month contract (with potential for extension based on performance) Shift : Monday to Friday | 8:30 am to 5 pm Pay Rate : $45/hr to $50.80/hr Job Description:

Join the Client Asset Control Group (CACG), a Global Markets Operations team at Bank. As a Business Analyst, you'll act as a subject matter expert (SME) and liaison for front office and operations partners, focusing on SEA Rule 15c3-3 compliance. Key Responsibilities:

Assess and enhance the risk and control environment. Monitor and test controls, identifying and remediating issues. Implement optimized controls and Quality Assurance (QA) practices.

Conduct quality inspection reviews and perform QA activities. Support regulatory exams, audits, and other reviews. Collaborate with Possession or Control and Regulatory Reporting teams.

Liaise with front office on new product designs. Provide audit assistance and internal process training. Requirements: Experience : 5 years in US Broker Dealer operations, front office, or regulatory/compliance roles.

Knowledge : Familiarity with DTC settlement, SEA Rule 15c3-3, equities clearing, and SEC regulations. Skills : Strong analytical thinking, attention to detail, problem-solving, and decision-making. Communication : Excellent written and verbal skills; comfortable leading meetings and presentations.

Other : Self-motivated, innovative, able to work unsupervised, and committed to promoting positive change. Company Description Collabera is a Global Digital Solutions Company providing Software Engineering Solutions for the world's most tech-forward organizations in the areas of Engineering, Cloud and Data/AI. With its roots serving the engineering needs of the world's most recognized businesses in Technology, Financial Services, Telecom and Healthcare, Collabera today operates across 60 locations in 11 countries, serves 30% of the Fortune 500, and has exceeded the industry growth rate by 3-4x for several years.

Company Description Collabera is a Global Digital Solutions Company providing Software Engineering Solutions for the world's most tech-forward organizations in the areas of Engineering, Cloud and Data/AI. With its roots serving the engineering needs of the world's most recognized businesses in Technology, Financial Services, Telecom and Healthcare, Collabera today operates across 60 locations in 11 countries, serves 30% of the Fortune 500, and has exceeded the industry growth rate by 3-4x for several years.