Compliance and Operational Risk Manager - Trade Surveillance

Description

This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and / or Third Parties.

Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively the Policies ), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.

Responsibilities :

• Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
• Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party / vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
• Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and / or operational risk losses
• Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country / regional governance and management routines
• Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
• Reviews and challenges FLU / CF process, risk, Single Process Inventory, and FLU / CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
Skills :
• Advisory
• Advisory
• Monitoring, Surveillance, and Testing
• Regulatory Compliance
• Reporting
• Risk Management
• Critical Thinking
• Influence
• Interpret Relevant Laws, Rules, and Regulations
• Issue Management
• Policies, Procedures, and Guidelines Management
• Business Process Analysis
• Decision Making
• Negotiation
• Process Management
• Written Communications

Additional Competencies :

• Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and / or FX products.
• Knowledge of trading business, markets, and products, with an understanding of the market microstructure.
• Ability to handle multiple projects in a dynamic environment.
• Excellent interpersonal, written and communication skills.
• Leadership qualities and presentation skills with ability to lead and run meetings.
• Statistical math, including standard deviation.
• Intellectual curiosity and ability to anticipate risk.
• Detail-oriented.
• Strong time-management skills.
• Ability to meet deadlines.

Required Experience :

• Bachelor’s Degree or equivalent experience.
• Minimum of 7+ years’ work experience, with 5+ years in Trade Surveillance.
• Strong understanding of Market Conduct behaviors and surveillance programs to detect market misconduct.
• Ability to analyze trading activity and market events, as well as the data that feeds into surveillance systems.
• Experience with Trade Surveillance systems, such as SMARTS, Actimize, Trading Hub or similar.
• Ability to execute surveillances across multiple lines of business.
• Extensive functional or professional knowledge.
• Microsoft Suite of products + technical experience with Excel macros, VBA, Python or equivalent.

Shift :

1st shift (United States of America)

Hours Per Week :