The role serves as a subject matter expert for operational risk and business controls, partnering with stakeholders across the firm to support projects, process improvements, audits, regulatory initiatives, and business activities designed to protect clients, the department, and the firm while maintaining operational effectiveness. Experience with bank-offered securities-based lending products, margin accounts, and cash account trading activities, including credit extension, overdue trade and debit collection activities, and compliance with applicable Regulation T, Regulation U, Federal Reserve, SEC, FINRA, OCC, and FDIC requirements.