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Bank Of America Compliance Operational Risk Manager United States, North Carolina, Charlotte 593355525
This job is responsible for executing second line of defense compliance trade surveillance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
Responsibilities:
Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
Leads the equities trade surveillance team to ensure timely and accuracy of surveillance execution.
Participates in audits and regulatory requests specific to the equities trade surveillance
Managerial Responsibilities:
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.
Diversity & Inclusion Champion: Models an inclusive environment for employees and clients, aligned to company D&I goals.
Manager of Process & Data: Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.
Enterprise Advocate & Communicator: Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.
Risk Manager: Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.
People Manager & Coach: Provides inspection, coaching and feedback to motivate, differentiate and improve performance.
Financial Steward: Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
Enterprise Talent Leader: Assesses talent and builds bench strength for roles across the organization.
Driver of Business Outcomes: Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.
Skills:
Advisory
Monitoring, Surveillance, and Testing
Regulatory Compliance
Reporting
Risk Management
Critical Thinking
Influence
Interpret Relevant Laws, Rules, and Regulations
Issue Management
Policies, Procedures, and Guidelines Management
Business Process Analysis
Decision Making
Negotiation
Process Management
Written Communications
Required Experience:
Bachelor’s Degree or equivalent experience.
Minimum of 7+ years’ work experience, with 5+ years in Trade Surveillance preferably in equities
Strong understanding of Market Conduct behaviors and surveillance programs to detect market misconduct.
Ability to analyze trading activity and market events, as well as the data that feeds into surveillance systems.
Experience with Trade Surveillance systems, such as SMARTS, Actimize, Trading Hub or similar.
Ability to execute surveillances across multiple lines of business.
Extensive functional or professional knowledge.
Microsoft Suite of products + technical experience with Excel macros, VBA, Python or equivalent.
Other Skills and Competencies:
Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and/or FX products.
Knowledge of trading business, markets, and products, with an understanding of the marketmicrostructure.
Ability to handle multiple projects in a dynamic environment.
Excellent interpersonal, written and communication skills.
Leadership qualities and presentation skills with ability to lead and run meetings.
Experience presenting to internal auditors as well as external regulators
Intellectual curiosity and ability to anticipate risk.
Detail-oriented.
Strong time-management skills.
Ability to meet deadlines
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