Lead Equities Ops control frameworks, drive audits and risk remediation, and use analytics/automation to strengthen operational excellence.
As an Equities Operations Control Management Vice President within the Global Equities Operations team, you will play a critical role in safeguarding our business and supporting strategic growth. You will lead the development and execution of control frameworks, coordinate audit and compliance reviews, and drive risk mitigation strategies. In this role, you will partner with cross-functional teams, leverage advanced analytics, and implement innovative technology solutions to enhance operational controls. You will be empowered to anticipate challenges, take ownership, and continuously improve our risk management practices. Your dedication will help foster a culture of risk awareness and operational excellence, making a meaningful impact on our team and the wider firm.
Job responsibilities
- Conduct functional deep dive reviews and targeted risk assessments to identify, analyze, and address control gaps and emerging risks within operational processes.
- Partner with Audit, Compliance, and Regulatory teams to assess incidents, perform root cause analysis, and drive remediation of control issues.
- Design and execute risk mitigation strategies based on findings from audits, deep dives, and risk reviews, ensuring sustainable control enhancements.
- Develop, analyze, and publish standardized control metrics; leverage business analytics tools (e.g., Tableau, Qlik) to identify trends, errors, and opportunities for process improvement.
- Drive control remediation and risk mitigation programs using data-driven insights and metric-based analysis.
- Manage governance and reporting of control and risk initiatives through advanced business analytics and visualization tools.
- Implement innovative technology solutions (e.g., Alteryx, Xceptor) to automate controls, enhance data analysis, and support operational excellence.
- Review significant change agenda and ensure no diminish of controls environment, assist with designing new controls where required.
- Act as a first line of defense with Operations on the control agenda, serving as a trusted advisor on operations risk, control, and audit matters.
- Help coordinate internal and external audit engagements and regulatory reviews, including preparation, walkthroughs, evidence gathering, and remediation tracking.
Required qualifications, capabilities, and skills