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

• 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
• 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, Compliance, Legal, Operations and Engineering globally to design and improve business control workflows for new regulatory implementations 
• 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 
• Support development of key metrics to measure effectiveness of the business control framework
• Execute the data governance framework, policies, standards, and guidelines

Basic Qualifications:

• Bachelor’s degree
• 3-5 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 Margin Rules and Mandatory Clearing
• 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
• 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 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

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