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 :
Experience with risk management principles
Strong oral and written communication skills
Knowledge of equities and equity derivatives market structures
Familiarity with laws, rules, and regulations applicable to equities and equity derivatives
Understanding of compliance program elements such as risk assessments, trade surveillance and policy management.
Familiarity with trade surveillance concepts and tools
Experience as an advisor to a sales and trading business
ability to lead projects and drive change with senior business leaders
The C&OR Manager proactively engages with other C&OR officers, including horizontal coverage owners and Enterprise
Areas of Coverage ( EAC ), to provide comprehensive oversight of FLU / CF activities. This role develops and maintains a
global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The
C&OR Manager prepares materials for C&OR regulatory exams / audits / inquiries and may provide consultation to business
leaders in preparation for FLU / CF regulatory exams / audits / inquiries.
Required and Desired Candidate Qualifications
Minimum Years of Business and Functional Experience : 7 Years
Degree Required : Bachelor’s Degree;
Additional Desired Qualifications : Experience covering equity derivatives sales and trading
Shift :
1st shift (United States of America)
Hours Per Week :
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