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Profile / Skills:
Candidate must be able to thrive in a fast-paced and high-pressure environment with the following primary responsibilities:
Manage, coach, and develop a high-performing team, act as an escalation point within the country/region, and continue to improve conduct and culture within the business and wider organization;
Support the Firm's Trade Surveillance Framework in the FLU and 1st Line, including control design and implementation, parameter setting, periodic reviews, venue coverage, data quality, alert dispositioning and investigations;
Work as a team to maintain global transparency and consistency (with regional customization where appropriate) of roles, processes, and accountabilities, and enhance governance and associated documentation (e.g. Written Supervisory Procedures, desk procedures, etc.);
Undertake program-wide initiatives to enrich the control framework, including identification/resolution of Audit Issues, and performance of deep-dives to identify control weaknesses or gaps in processes/activities that require remediation;
Manage and deepen relationships within the LOB and COO/CoS and a wide array of control/support partner groups (including but not limited to Compliance, Legal, Audit, Finance, and Technology);
Interface with Regulatory agencies (both domestic and international) as required, representing the Firm, and be accountable for ensuring regulatory concerns are appropriately and swiftly addressed;
Active participation in governance routines and internal/external exams, including preparing and presenting documentation to a diverse and senior audience; and
Drive operational risk program deliverables on behalf of the LOBs including Risk and Control Self Assessments, Single Process Inventory, key metrics, and operational event reporting.
Required Experience:
8+ years of industry experience within Global Markets and/or Support Functions;
Preferred: Experience working in Front/Middle Office and/or Compliance, and an understanding of both Fixed Income and Equity products;
Preferred: Understanding of Market Misconduct and Unauthorized (Rogue) Trading behaviors across Trading and Sales businesses;
Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
Exceptional relationship management skills – ability to work confidently with employees of all levels, including senior executives;
Commitment to provide timely and accurate guidance to the FLU with strong ability to influence when needed;
Inquisitive mindset and the ability to think creatively to solve problems and anticipate potential questions or issues;
Excellent judgment in handling sensitive and confidential information;
Attention to detail and high standard for quality work product; and
Fluency in English and Portuguese required.
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