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Bank Of America Sr Trade Surveillance Lead United States, North Carolina, Charlotte 533292307
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The Testing Manager IC consults with compliance officers and operational risk to execute an effective testing program per requirements. This role contributes to the identification of themes and trends at the front line unit, control function and enterprise level.The Testing Manager IC proactively manages the relationship with external consultants, front line unit (FLU) /Control Function (CF) Compliance and Operational Risk groups. This role participates in routines involving FLU/CF Compliance and regulatory agencies.Key responsibilities:
The Testing Manager IC is accountable for test execution for the Independent Testing Function.The Testing Manager IC is a highly tenured subject matter expert with strong subject matter expertise of test execution and system(s) of record required and is able to translates business strategy into work programs and processes.The Testing Manager IC is accountable for quality testing execution, reporting and analysis of results. This role may lead, contribute and participate in multiple special projects as an experienced subject matter expert of a processes and/or projects.
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:
- Adaptability
- Attention to Detail
- Collaboration
- Monitoring, Surveillance, and Testing
- Problem Solving
- Data Privacy and Protection
- Influence
- Interpret Relevant Laws, Rules, and Regulations
- Issue Management
- Reporting
- Quality Assurance
- Underwriting
Minimum Education Requirement:Null
The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures accountability primarily, for the timely completion of "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or more Market Conduct Risk Behaviors. The Sr Trade Surveillance lead is a highly skilled subject matter expert in his or her area of expertise for Compliance and Operational Risk.
The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute an effective trade surveillance program per requirements. This role contributes to the identification of themes and trends at the front-line unit, control function and enterprise level.
The Sr Trade Surveillance lead proactively manages the relationship with external consultants, front line unit (FLU) /Control Function (CF) Compliance and Operational Risk groups. This role participates in routines involving FLU/CF Compliance and regulatory agencies.
Key Responsibilities:
The Sr Trade Surveillance lead is accountable for Trade Surveillance for the Independent Testing Function.
The Sr Trade Surveillance lead is a highly tenured subject matter expert with strong subject matter expertise of trade surveillance and system(s) of record required to conduct trade surveillance and is able to translate business strategy into work programs and processes.
The Sr Trade Surveillance lead is accountable for the quality and timeliness of trade surveillance activities, reporting and analysis of results. This role may lead, contribute and participate in multiple special projects as an experienced subject matter expert of a processes and/or projects.
• Bachelor’s Degree or equivalent experience
• Adaptability to dynamic work environment with multiple priorities and strict deadlines.
• Experience in drafting policies and procedures.
• Ability to work in a team-oriented environment.
• Ability to communicate through verbal, written and interpretational communication skills to all levels of the organization.
• Excellent understanding of business, markets and products
• Ability to handle multiple projects in a dynamic environment
• Intellectual curiosity, anticipate risk and forward thinkingDesired Experience• Understanding of the Financial Industry, front office or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.
• Front office or middle office experience, or trading related experience
• Experience using surveillance tools such as Actimize and/or Smarts Surveillance platforms
• Excellent interpersonal, written and verbal communication skills
Skills and Competencies:
• General understanding of trade surveillance, and the rules, laws, and regulations that address Market Misconduct
• Knowledge of Fixed Income and Equities related products
• Influences with Impact
• Acts with Courage and Conviction
• Demonstrates Business Acumen
• Drives Operational Excellence
• Develops Strong Talent
• Applies Critical Thinking
• Promotes Collaboration
• Demonstrates Effective Consulting
• Demonstrates Integrity
• Manages Project
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