Rates Trading Control Manager - Senior Associate

The Control Management Organization has dual reporting into to the Corporate Investment Bank (CIB) Chief Financial Officer and the Oversight and Control Office.

The team focuses on four areas : Risk Identification & Assessment, Control Design & Evaluation, Issue Management, and Control Governance.

The role requires effective partnership with colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators, and technology control functions to promote consistent operational risk practices and Control programs.

As a Control Manager - NA Rates Trading - Associate, you will be responsible for managing the end-to-end control environment of the North America Rates business.

You will have the opportunity to work with a team of risk and control experts, and your role will involve managing control-related activities, partnering effectively with colleagues across the firm, and helping establish control governance and reporting.

This role offers a comprehensive set of market-making, structuring, and risk management capabilities across a full spectrum of linear and non-linear trading products.

Job Responsibilities

Oversight and Governance - In partnership with business executives and core business support groups (., Operations, Product Control, Compliance, Technology, Market Risk), drive business control forums, ensuring agenda and materials effectively cover critical business operating risk.

Identify and remediate control gaps Review and implement key firm wide policies on behalf of the Business Execute ad hoc / analytical requests / control deep dives / projects / resiliency

• Front Office supervision -Facilitate the execution of various Supervisory attestations; Develop, review, and implement Supervisory tools and Policies & procedures on Front Office Supervision
• Regulatory, Audits and Compliance Testing - Preparing the business for controls audits and testing as well as assisting in business regulatory exams;

Ensuring any issues and actions plans raised are thoroughly followed through

Operational Risk Management Framework - Timely identification, escalation and recording of operational errors; Review of incidents with key stakeholders to agree on root causes and delivery of appropriate remedial actions

Required Qualifications, Skills and Capabilities

• Bachelor’s degree or equivalent experience required
• Business knowledge - ability to understand the business / knowledge of regulation surrounding business
• Communication / presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
• Networking exceptional interpersonal skills; exceptional collaboration and relationship building skills
• Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
• Process analysis / design acumen ability to understand a process and associated risk to inform control design
• Problem solving / Analytical / Implementation skills - solid critical thinking, attention to detail and analytical skills;

able to synthesize large amounts of data and formulate appropriate conclusions ;Writing Action Plans, Procedures; Change Management

Preferred Qualifications, Skills and Capabilities :

• Be highly organized with strong attention to detail and an ability to manage multiple and competing deliverables
• Communicate effectively and comfortably with senior management
• 3+ years of financial services experience in controls, audit, quality assurance, risk management, or compliance preferred
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) with the ability to develop compelling and meaningful executive presentations that will drive opportunities / recommendation for improvement
30+ days ago