Business Accountability Specialist

• Maintain deep expertise in all security-level restriction types, including the rationale behind each, and ensure accurate, timely entry and consistent application across all firm systems
• Develop strong knowledge of order entry and restriction related system functionality, dependencies, and downstream impacts
• Perform ongoing reconciliation and monitoring of restrictions across platforms to ensure control effectiveness, including identifying overrides, bypasses, stale restrictions, and potential control gaps
• Execute robust QA reviews on new and modified restrictions using standardized validation routines and support periodic control testing and operational risk assessments aligned with regulatory and firm expectations
• Create, maintain, and enforce clear procedures and documentation covering restriction types, entry standards, effective dates, scope, authority/source, escalation paths, and operational controls
• Serve as a subject-matter point of contact for real time FA support related to order entry and security restrictions
• Demonstrate strong understanding of equity and options order origination, validation, routing, and execution, and monitor order activity to ensure proper handling within firm systems
• Partner with technology and compliance teams to troubleshoot issues with electronic order handling and restrictions. Perform root-cause analysis, and recommend process, control, or system enhancements

2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Experience working with security-level trading restrictions, pre-trade risk controls, or restricted list management
• In-depth knowledge of order entry, electronic order handling, and trading workflows
• Ability to understand and troubleshoot system behavior and control logic, including restriction hierarchies, rule precedence, and cross-system dependencies
• Strong track record of accurate data entry and control execution in high-risk, high-visibility operational environments
• Strong analytical skills to assess unintended impacts of restrictions and recommend corrective or preventive actions
• Strong verbal and written communication skills, with the ability to clearly explain restriction behavior and rationale to diverse audiences
• Demonstrated experience identifying opportunities for process enhancements, automation, and control strengthening
• High level of integrity, accountability, and risk awareness