Job Description

Team Overview: GBMTrading Controls team manages business controls which includes pre-trade and trade controls for certain regulatory obligations, as well as controls that manage supervisory related risks that arise from business activity for Sales & Trading in the Global Banking & Markets (GBM) division. Managing business controls includes control design, implementation, enhancements, and ongoing oversight to ensure risk in the division is appropriately managed.

Roles and Responsibilities

• Manage the local team, with daily functional oversight and responsibility for the delivery of all work/ projects
• Lead strategic initiatives to business control design, workflows and processes across regulatory obligations and supervisory framework
• Design pre-trade and trade business controls for new regulatory implementation and tools supporting supervision framework, as well as identifying and implement enhancements to existing controls for Global Banking & Markets
• Build relationships with Sales/Trading, Compliance, Legal, Operations and Engineering globally to design and improve business control workflows for new regulatory implementations 
• 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 
• Develop tools and management reporting (e.g. metrics, dashboards) to mean effectiveness of the business control framework and improve visibility to facilitate escalation to control owners, desks and senior leadership
• Partner with Engineering to establish control metrics and effectiveness criteria and identify strategic enhancements on an ongoing basis

Basic Qualifications:

• Bachelor’s degree
• 5-7 years of relevant work experience with exposure to regulatory implementation or specific knowledge of front office supervision frameworks
• Prior experience in managing a team to drive data strategy and uplift of controls preferred
• Deep understanding of risk & controls framework across Trading & Sales businesses
• Expert understanding of securities markets, derivative products and Sales & Trading functions and ability to build relationships with sales / trading personnel
• Demonstrate sound judgement and decision making while managing risk appropriately
• 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
• Prior exposure to regulatory trading obligations such as Margin Rules and Mandatory Clearing
• Demonstrate effective analytical, critical thinking, and perform root cause / trending / impact analysis to drive decision making
• Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders

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