GBM Supervisory Risk and Controls team is a First Line risk management function and manages business controls covering supervisory related risks arising from both Equities and Fixed Income Currency & Commodities (FICC) sales & trading activities, as well as pre-trade and post-trade controls for different regulatory obligations in the Global Banking & Markets (GBM) division. The team focuses on control design, implementation and enhancements to ensure risk in GBM is appropriately mitigated.

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Roles and Responsibilities

Develop subject matter expertise on business controls and support coverage to effectively investigate and remediate business control issues that arise

• Support development of key metrics to measure effectiveness of the business control framework
• Build relationships with Sales/Trading including regular meetings with Supervisors to discuss their team’s regulatory compliance exceptions.
• Work with Compliance and Legal on matters relating to regulatory compliance and conduct.  
• Contribute to strategic initiatives to streamline pre-trade, trade and supervisory control design, workflows and processes across obligations
• Represent the team in all necessary forums for the business controls covered within the region including operating risks & control groups, as well as Management & Strategy (M&S) committees when needed
• Monitoring and Oversight of Control Actions and Control Effectiveness
• Execute the data governance framework, policies, standards, and guidelines

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Basic Qualifications:

• Bachelor’s degree 2 - 5 years of relevant work experience with exposure to regulatory implementation or specific knowledge of front office supervision frameworks
• Good understanding of risk & controls framework across Trading & Sales businesses
• Good understanding of securities markets, derivative products and Sales & Trading functions and ability to build relationships with sales / trading personnel
• Prior exposure to regulatory trading obligations such as MiFID II, Margin Rules and Clearing and Execution reporting obligations
• Ability to prioritize and meet simultaneous competing demands and a passion for a drive to deliver in a rapidly changing environment
• Experience managing projects, and building and maintaining stakeholder relationships; communicating with influence
• Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigates/solutions and escalate appropriately
• Demonstrate effective analytical, critical thinking, and perform root cause / trending / impact analysis to drive decision making
• Experience with data blending and data visualization software such as Alteryx, Tableau, QlikView, Power BI, is desirable but not required

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