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 ariseBuild 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 obligationsAnalyze 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 degree1-3 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 businessesGood understanding of securities markets, derivative products and Sales & Trading functions and ability to build relationships with sales / trading personnelPrior exposure to regulatory trading obligations Ability to work with key stakeholders to define and clarify obligation requirements and demonstrate comprehension of business logicAbility to prioritize and meet simultaneous competing demands and a passion for a drive to deliver in a rapidly changing environmentStrong 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 appropriatelyExpert 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 implementationExperience with data blending and data visualization software such as Alteryx, Tableau, QlikView, Power BI, is desirable but not required