Global Banking & Markets

Team Overview: Global Banking & Markets (GBM)Supervisory Risk and Controls team is a First Line risk management function and manages 1) business trading controls which cover supervisory related risks arise from Investment Banking, Equities and Fixed Income Currency & Commodities (FICC) sales & trading activities, as well as 2) pre-trade and post-trade controls for different regulatory obligations in the GBM division. The team focuses on framework and control design, implementation and enhancements to ensure risk in the division is appropriately mitigated.

Roles and Responsibilities

This role will focus on designing and implementing control framework and tooling to cover Investment Banking activities. 

• Partner with GBM Private personnel to identify First Line supervisory and trading controls needs for Investment Banking activities. 
• Identify technological uplifts to support supervisory framework and regulatory obligations. 
• Participate in cross-functional working groups, drive discussions of supervisory and control solutions, and achieve consensus.
• Lead systematic pre-trade and post-trade control design, workflows and processes implementation with Engineering.
• Formulate, develop and document control requirements and logics.
• Analyze data and trends and identify enhancements to existing controls to improve control effectiveness.
• Drive strategic initiatives to streamline controls across obligations.
• Build relationships with GBM Private personnel, Engineering, Compliance, Legal and Operations globally to improve First Line control suite on an ongoing basis.
• Train associated persons on controls tooling.

Basic Qualifications:

• Bachelor’s degree.
• 4+ years of relevant work experience with specific knowledge of front office supervisory and control framework or exposure to regulatory implementation for Investment Banking business.
• Prior experience in working with Engineering to lead data strategy and technological uplift of systematic controls preferred.
• Strong project management/organizational skills and attention to detail; ability to handle a fast-paced environment; articulate influentially.
• Familiarity with GBM Private personnel functions, securities markets, derivative products, booking platforms and trade/deal flows.
• Expert in translating and analyzing data to perform root cause / trending / impact analyses to drive decision making.

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