VP, Business Controls (Fixed Income/Commodities)

Full Time

International Bank

Office Status: Hybrid

Job Responsibilities

  • Assist the regional Executive Manager with Line of Business (LoB) leadership in the supervision, monitoring and management (within appetite) of non-financial, operational and compliance risks for the regional LoB.
  • Liaise with multiple stakeholders across the NY, London and Europe offices, including working with the business and broker dealer teams as well as working across teams who are responsible for support functions such as Compliance and Risk.
  • Develop a deep understanding of obligations and risk profiles and communicating that to the domestic first line teams and stakeholders in Head Office (HO). For example, perform quarterly reviews on the NY FM branch risk profile and the broker dealer risk profile.
  • Analyze and interpret requirements from HO that may apply to FM business in the NY branch. For example, adherence to the Issue and Incident Management Policies.
  • Support the regional Executive Manager by ensuring that the Risk and Compliance Matrices (RCM) process is managed and maintained in line with 3 Lines of Defense frameworks and policies.
  • Report to the Executive Manager on the management of Operational and Compliance Risk across the NY FM business.
  • Understand the business and support first line business
  • Manage incidents & issues for the bank & broker dealer
  • Perform and be responsible for overseeing FM control assessments in the NY branch

Job Requirements

  • Significant experience of specific business / operations experience in a relevant area of the same or another financial services organization; or,
  • Operational risk / compliance management experience in the same or another Business Unit within the Group; or,
  • Knowledge of operational risk / compliance management experience in a relevant area in another financial services organization; or,
  • Experience of operational risk / compliance management experience in a consulting / audit firm with financial services experience.
  • Demonstrable experience of influencing business leadership teams, strategic thinking and prioritization.
  • Demonstrable experience of translating the complex into the simple and communicating with passion.  Relevant industry qualifications (risk, co business-related).
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