Equities Business Control Manager - Associate

You are an advisor, highly motivated, energetic self-starter who takes ownership of processes, interested in working in a fast-paced and dynamic environment, participating in key initiatives and becoming involved in a diverse set of issues that will have a direct impact on the organization.. You have found the right team.

As the Equities Business Control Manager, you will help the business manage its regulatory obligations, conduct and operational risk and supervisory requirements. Specifically, you will manage various aspects of the end to end control environment spanning business execution, credit risk, market risk, model risk valuation controls, operations and finance. BCM’s mandate is a key role for the business in the increasingly complex and demanding global regulatory environment. You will be a trusted advisor on regulatory, operational risk and control matters.

Job Responsibilities

• Serving as trusted control advisor to the Front Office including prepping it for examinations and audits
• In conjunction with legal, compliance and other functions, representing Front Office interests vis a vis control/regulatory initiatives
• Execution and implementation of business controls , risk governance and reporting priorities and strategy. Control representative in control fora
• Identification, documentation and remediation of control gaps, risk assessment and root cause issue analysis. Policy development, review and implementation
• In connection with all activities, improvement of the “user experience” for all stakeholders and partners, i.e., focus in enhancing transparency, efficiency and simplicity of control processes
• Front Office supervision management and execution, front Office supervision and oversight including exception management., Front office supervisory tool development
• Operating procedures documentation and implementation. Pre trade, and in certain cases, post trade surveillance

Required qualifications, capabilities, and skills

• University degree
• Understanding of Equities products and markets. Understanding of the end to end product life cycle for Equities
• Excellent organizational skills - manages and prioritizes multiple tasks across different time horizons within deadlines
• Strong understanding of controls and their application to different processes and businesses
• Strong analytical, problem solving and process re-engineering skills
• Excellent Excel, Word, PowerPoint skills. Excellent verbal and written communication skills
• Strong team player with excellent partnering and influencing skills

Preferred qualifications, capabilities , and skills

• Previous experience in a middle office, trading, audit, technology, business management, operations, operational risk or compliance function