Job Responsibilities:
- Identify and manage operational and conduct risk related to trading of financial OTC derivatives, listed futures, and securities.
- Ensure appropriate controls are in place to support new business initiatives and regulatory changes.
- Assist in assessing the end-to-end control environment and resolving control issues.
- Facilitate the execution of Front Office supervisory controls, attestations, and exception management.
- Execute control programs such as Risk & Control Self Assessments and Risk Event Reporting.
- Participate in projects as a project manager or consultant on control initiatives.
- Prepare and present the monthly Control Dashboard and Business Control Committee reports.
- Lead and coordinate audits, control testing, and regulatory exams in partnership with the business.
- Build and maintain strong relationships with front-office personnel and other business functions.
Required Qualifications, Capabilities, and Skills:
- Deep understanding of operational risks and controls with the ability to design and monitor effective frameworks.
- Excellent analytical and problem-solving skills, including risk assessments and root cause analysis.
- Strong verbal and written communication skills for diverse stakeholders.
- Polished interpersonal skills to challenge and build consensus across the organization.
- Self-starter with the ability to work independently and manage multiple projects.
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).
Preferred Qualifications, Capabilities, and Skills:
- E-Trading business knowledge.
- Relevant financial service experience in controls, audit, quality assurance, risk management, compliance, or governance.
- Proficient knowledge of control and risk management concepts.
- Prior exposure to Front Office Trading.