Job Description
DHG - Regulatory Advisory Senior Manager
Requisition ID
2021-8162
Practice
DHG Advisory
Location
US-NC-Charlotte
Additional Locations
US-NY-New York | US-VA-Tysons | US-VA-Richmond | US-FL-Tampa Bay | US-GA-Atlanta
Responsibilities
Manage relationships with client-side stakeholders to facilitate project fulfillment
• Serve as a key client contact by planning, coordinating and executing cross-functional risk management projects
• Exercise independent thinking skills by making decisions related to Finance and Accounting Transformation, Regulatory change, and Data Management .
• Drive and support a book of business that provides excellent, relevant services to the market
• Manage, develop and mentor direct reports with the goal of fostering their career development
• Responsible for all phases of project life cycle, including execution of deliverables, team communications, staffing requirements, job planning and scheduling
• Responsible for staying up to date on developments regarding the market, changes in regulation, new technology, etc.
• Create and Develop Knowledge Share documentation on regulatory topics related to broker dealers
• Responsible for leading multiple project teams simultaneously in order to deliver exceptional client service
• Adhere to DHG compliance standards in all aspects of job responsibilities
#LI-KM
Qualifications
• 10 + years' experience in relevant roles within the Financial Services sector, focusing within US banks or FBOs, broker dealer, lending operations, or data life cycle
• BA or BS Accounting, Finance, Business, or related field required
• Operational knowledge of swaps accounting and processing
• Understanding of SEA Rule 15c3-3 Customer Reserve and 15c3-1 Net Capital
• Understanding and ability to apply knowledge of FINRA Rule 4210 Margin
• Understanding of CFTC Secured and Segregation Computations
• Experience leading a group for a clearing broker dealer
• Proficiency in MS Office: Word, Excel, Power Point and Outlook
• Desired proficiency in AxiomSL and Broadridge
Preferred:
• Master's Degree preferred
• 2+ years of professional level project management experience required
• 6+ years of advisory or consulting experience
• Ability to travel
• Prior experience managing multiple teams of 2 or more full time employees preferred
• Knowledge of SWAPs Processing and Accounting
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Compensation and Hours
Salary Range: Not Available DOE (Depends on Experience) Not Available Other Benefits: Not Available Full or Part Time: Full Time (30 Hours or More) Job Duration: Over 150 Days Type of Job: Regular
Shift: Not Applicable
Hours per Week:
Hours Not Specified
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