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Sr. Product Manager - Brokerage AML, Fraud, and Compliance
TradeStation
2021-12-03 14:35:00
Atlanta,
Georgia,
United States
Job type: fulltime
Job industry: Banking & Financial Services
Job description
Sr. Product Manager - Brokerage AML, Fraud and Compliance
Virtual US
#WeAreTradeStation
At TradeStation, we believe in empowering our customers to claim their individual financial edge . We are committed to creating a financial ecosystem that is a step ahead by delivering the best technology, services, education, and support to traders and investors. We are continuously pushing the boundaries of what is possible, encouraging out-of-the-box thinking and relentless search for innovation.
We are a team of amazing people who work together in a high-performance, goal-oriented culture to provide our customers with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits, and an unlimited PTO policy.
POSITION SUMMARY:
We are actively seeking a talented and experienced Senior Product Manager to join our team of skilled product managers responsible for our SEC regulated brokerage products. This position is key to our firm and responsible for collaborating with key stakeholders in creating and owning the strategy, roadmap, and 3rd party relationships for applications and processes that deal with all the regulations from the exchanges, SROs and local and national governing rules that support solutions to meet the needs of the customers and the business.
TradeStation has a robust control structure to address fraud, AML and operational rules as a regulated entity. Our day-to-day business requires design of systems and products that enhance the client experience while maintaining the systems of controls for compliance. This can be accomplished through using third-parties, collaborating with technology stakeholders or working with current systems. In this role you will work closely with many internal and external stakeholders to build and maintain control standards while enhancing the products to meet the evolving landscape of the industry and customer requirements.
The ideal candidate is an expert cross-functional collaborator, that holds themselves to a high standard as they execute key PM responsibilities including conducting research on new/improved tools and processes, conducting swot analysis, creating product vision and strategy, defining the business requirements and priority of product initiatives, and creating ways to identify the needs of business teams and our customers.
This role reports to the Sr. Director of Brokerage Products and is an ideal opportunity for someone experienced in the broker dealer space who is excited to challenge the status quo and dig in and contribute to improving processes. This role needs a strong communicator who is an organized team player that knows how to create a strategic plan for enhancing products and services in ways that promote stability and growth.
ESSENTIAL JOB FUNCTIONS:
- Act as the Relationship Manager and subject matter expert of process, systems and controls for fraud, AML and operational compliance
- Assess and present on product opportunities, updates, and scheduled changes for products and services that you represent
- Ensure the highest level of data integrity and data standards
- Current knowledge of trade surveillance and compliance programs in regulated entities to provide optimization and enhancement recommendations and solutions
- Critically examine regulatory requests response data to ensure data is complete and validate the data integrity
- Attend emergency calls for products you represent to help mitigate issues as they arise
- Evaluate, improve or collaborate on the compliance requirements for existing operational processes and procedures to reduce risk and increase efficiency
- Document proposed product/service enhancements that are requested by our business teams, technology teams, or 3 rd parties and represent those enhancements in discussions on priorities
- Create, align and maintain compliance control integrity in product roadmaps
- Actively research and analyze ways in which we can continue improving our processes and procedures
- Spend time in the market with vendors to understand opportunities or issues, and find innovative solutions to problems
- Manage and monitor the brokerage product life cycle by collaborating with our Technology, Operations, and Brokerage Service teams
- Provide business stakeholders updates to issues, releases, and development progress for products and services you represent
KNOWLEDGE, SKILLS & ABILITIES:
- Excellent at executing PM responsibilities, and best practices in an agile organization
- Ability to work in a team environment and be flexible
- Working understanding of fraud, AML and compliance for self-clearing brokerage operations
- Strong analytical and data-driven business goal mindset
- An advocate for simple and effective product solutions
- Results driven with a "get things done" attitude
- Constant self-improvement, permanent learning, and intellectual curiosity is required
- Outstanding communicator and collaborator
- Highly organized with the ability to prioritize and track multiple tasks to successful completion
EDUCATION & EXPERIENCE:
- Background in brokerage products, operations, and risk management.
- Strong understanding of SEC, FINRA, NFA regulations
- Experience with industry vendors such as Actimize, Trillium and Highbond, FIS, trading systems, CAT
- Experience with FIS Phase 3, RJO GMI, or other back office brokerage systems a plus
- Experience working in agile methodologies and using Jira to manage projects
- Bachelor's degree (Master' s/MBA a plus)
- 5+ years' experience as a product manager or product owner in the securities industry
- SIE, Series 14, 3, 99, 27, 24
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