Regulatory Project Manager -Broker Dealer compliance (SEC Rule 15c3-3)

Job Description

Job Title: Senior Regulatory Project Manager- Broker Dealer compliance (SEC Rule 15c3-3)

Job Location: New York, New York

Job Type: Contract W-2

Experience: 10 Years +

A global bank is seeking a Regulatory Project Manager. The Regulatory Project Manager will bring 10+ years of relevant experience (or training equivalent) and familiarity with SEC Rule 15c3-3.The regulatory project manager will support of the Implementation of the SEC Rule 15c3-3 release.

The objective is to ensure the successful completion of the project within the designated time frame, budgetary constraints, and quality standards established herein.

Responsibilities: The project manager ensures that the regulatory project is appropriately organized and is tracking against project goals including implementation of sustainable solutions, owns the organization of the project, together with the key project stakeholders, identifies and mobilizes appropriate internal stakeholders to work on the project, ensures that the project uses appropriate tools and follows applicable standards, tracks expenditures along with the business manager against budget and provides expense forecasting where required, The project manager works collaboratively with the key project stakeholders.

Project Phases: The Project shall be executed in accordance with the following key phases:

a. Organize: Establish a structure and launch the Regulatory Project, considering the project goals, scope and constraints.

b. Implement: Finalize and execute the deliverables for the Regulatory Project in accordance with the relevant timelines, workstreams and project management standards and tools. Incorporate new regulatory events as warranted during the Regulatory Project. Conduct periodic project governance meetings and provide regular updates to project stakeholders.

c. Close: Ensure an effective transition to BAU, using a project closure checklist to capture all necessary steps for successful closure. Obtain approval to close the project from the appropriate governance forums.

d. Sustainability: Monitor the sustainability of the implemented process or framework. The sustainability monitoring performed under BAU beyond project closure strengthens accountability of 1st and 2nd LOD functions while complementing any required testing conducted by Internal Audit.

Qualifications

· Regulatory Project Manager has 10+ years of relevant experience (or training equivalent).

· Minimum bachelor's degree from reputed University with good academic record

· Experience with SEC regulations and Broker Dealer compliance

· Experience using project management software

· Ability to adapt and work in a changing environment

· Logical and structured approach to planning and problem solving and decision-making

· Proven ability to collaborate with partners across multiple disciplines and functions, with very good interpersonal skills

· Readiness to work in a global, fast-paced environment and under tight timelines to deliver high-quality results

· Good Microsoft Office skills - Excel, Word, Visio and PowerPoint

· Ability to anticipate issues and aggressively drive initiatives to achieve results

· French speaking a plus