Business Accountability Senior Manager – Equities – Electronic Trading – Structured Products and Volcker

Business Accountability Senior Manager – Equities – Electronic Trading – Structured Products and Volcker

Requirements

• 6+ years of risk management, business controls, or compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of management or leadership experience

Responsibilities

• Provide day to day leadership and management to the Business Aligned Supervisory Officers in the respective product areas, including managing and developing the teams to oversee moderate to highly complex activities associated with the development and implementation of business-specific programs, processes, and controls which identify, assess, monitor, measure, and mitigate risk.
• Identify and recommend opportunities for process improvement, risk mitigation, and control strategies.
• Determine appropriate strategies and actions, interpret and develop policies and procedures, and provide leadership to strategize and execute a variety of programs, services, initiatives, protocols, and deliverables that are moderate to high-risk within scope of responsibility.
• Provide thought leadership to support the Designated Supervisors and desk heads to enhance the control environment and address issues.
• Work with control partners to identify control gaps, design, implement and track through issue remedial actions to close and continue to improve conduct and culture within the business and wider organization including but not limited to trade surveillance, conflicts of interest, unauthorized trading, etc.
• Represent CIB Markets at various committees, forums, working groups and meetings as required.
• Interface with Regulatory agencies (e.g., OCC, FINRA, SEC, FC, etc.,) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressed.
• Collaborate with and influence all levels of professionals including senior managers.
• Engage and influence business heads, regulators, control management, risk, legal, and audit partners to successfully ensure appropriate management of business risk.
• Act as an escalation point for any items that require escalation, awareness, or approval.
• Develop and guide a culture of talent development to meet business objectives and strategy.

Preferred Qualifications

• 6+ years of industry experience in Trading, Controls or Compliance
• A BS/BA degree or higher
• Knowledge and experience with Equities, Electronic Trading, Structured Products and Volcker risk programs
• Ability to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
• Understanding of Market Abuse Risks and applicable rules and regulations across specific Sales and Trading business
• In-depth knowledge of Supervision, Supervisory programs, role of a supervisor, obligations of a supervisory delegate and risks associated with such
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner
• Self-starter with ability to multitask, manage competing priorities, and effectively lead in a dynamic environment
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner
• Strong attention to detail and high quality standard for work
• Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed
• Inquisitive and proactive mindset with the ability to think creatively to solve problems and anticipate potential questions and issues
• Experience handling highly sensitive and confidential information utilizing sound judgement
• FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite. Must be willing to obtain in a timely manner