Team Overview: 

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.

 

Roles and Responsibilities

 

• Design pre-trade and trade business controls for new regulatory implementation and tools supporting supervision framework.
• Support systematic pre-trade and post-trade control design, workflows and processes implementation with Engineering.
• Develop subject matter expertise on business controls and support coverage to effectively investigate and remediate business control issues that arise
• Build relationships with Sales/Trading, Engineering, Compliance, Legal and Operations globally to improve First Line control suite on an ongoing basis.
• Formulate, develop and document control requirements and logics.
• Contribute to strategic initiatives to streamline control design, workflows and processes across obligations
• Analyze data and trends and identify enhancements to existing controls to improve control effectiveness.
• Participate in cross-functional working groups, drive discussions of supervisory and control solutions, and achieve consensus.
• Train impacted Sales/Traders on controls tooling.

 

Basic Qualifications:

• Bachelor’s degree
• 1-3 years of relevant work experience with specific knowledge of front office supervisory framework or exposure to regulatory implementation.
• 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 
• Ability to work with key stakeholders to define and clarify obligation requirements and demonstrate comprehension of business logic
• Ability to prioritize and meet simultaneous competing demands and a passion for a drive to deliver in a rapidly changing environment
• Strong project management/organizational skills and attention to detail; ability to handle a fast-paced environment; articulate influentially.
• Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigates/solutions and escalate appropriately
• Expert in translating and analyzing data to perform root cause / trending / impact analyses to drive decision making.
• Experience in process redesign and executing strategic concepts from inception to implementation
• Experience with data blending and data visualization software such as Alteryx, Tableau, QlikView, Power BI, is desirable but not required