VP, Fixed Income Operations & Controls Manager
VP, Fixed Income Operations & Controls Manager
Madison-Davis, LLC
Stamford, CT
See who Madison-Davis, LLC has hired for this role
Madison-Davis, LLC provided pay range
This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$140,000.00/yr - $160,000.00/yr
Office Status: Hybrid
Salary: $140,000 to $160,000
Responsibilities:
- Day to day oversight of all outsourced activities in line with documented procedures.
- Implementation and execution of Written Supervisory Procedures (WSPs) for all outsourced activities, ensuring evidence of supervision is performed in line with documentation.
- Collect, review, and challenge Broadridge Standard Operating Procedures and daily output, working with Broadridge and internal stakeholders to highlight concerns and remediate incidents.
- Identify and own opportunities to re-engineer processes & controls from a simplification, cost saving, regulatory, and customer perspective.
- Implementation, execution, maintenance, and monitoring of Service Level Agreements.
- Support for internal and external audits / perform Risk Assessments and see through until closure.
- Attendance at regular governance meetings with service providers – ensure issues are raised and actioned, meetings are well documented, required procedural changes are discussed and agreed, audit results are reviewed and addressed.
- Maintaining an effective control environment through review and distribution of policy updates, SOX/RACA identification and creation of controls, adequacy reviews and testing, MI Review and Reporting, and maintenance of governance documentation.
- Review and validation of agent invoices prior to sourcing for approval and payment.
- Regular reporting to management on status of outsourced and offshored activities, with particular attention to any risks, issues, and remediation actions.
- Review and approval of cash wires and journals to the firm General Ledger.
- Process month end ledger cash adjustments & reconciliation packages working with Financial Reporting and Regulatory teams.
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Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Finance -
Industries
Investment Management, Investment Banking, and Financial Services
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