Manager, Capital Markets First Line Support & Supervision

Office Status: Hybrid (2-3 days per week in office)

Salary: $130,000 – $160,000

Responsibilities:

• Deep working knowledge of compliance risks/rules and controls for broker dealer, and derivatives/swap businesses
• Understanding and communicating compliance rules to the 1A business effectively while able to escalate any issues clearly to various stakeholders.
• Risk and Control experience in Capital Markets able to effectively communicate with multiple stakeholders in business/trading, operations and risk conversations.
• Expert in the operational aspects, compliance and business matters for the capital markets business lines.
• Able to be point person for the front office capital markets businesses on operational/process, risk, and compliance issues and internal/external obligations.
• Conducting supervisory reviews (e.g. trade, electronic communications, voice communications).
• Lead/direct/execute delegated supervisory tasks from the businesses (Line 1A).
• Strong ability to communicate with senior Capital markets personnel on detailed issues in business.
• Participating in RCSA execution and liaising with 1A to identify processes, risks, controls and corresponding ratings.
• Coordinating in the collation of information and execution required by regulators and internal audit to facilitate the latter’s examinations/reviews.
• Driving analyses of risk events to ascertain underlying causes and formulate action plans to address process breakdowns.
• Reviewing regulatory and audit findings and work with business line management (Line 1A) to formulate responses.
• Assisting the business in coordinating and performing timely review of new transactions, products, and/or methods for effectuating transactions in accordance with New Initiative Risk Assessment process.