Financial Services Client
Office Status: Hybrid
Salary: $125,000 – $200,000
Responsibilities:
- Perform supervision of Sales and Trading staff
- Work closely with Desk Head Series 24 supervisors.
- Communicate with senior business management including the Head of Sales & Trading, the Heads of the currencies, rates and credit trading desks and Sales & Trading personnel regularly to address issues on a real-time basis.
- Escalate, monitor, track, and report related issues to senior management to ensure a timely and effective resolution.
- Collaborate closely with the business, Risk, Compliance and relevant support functions to ensure appropriate stakeholder involvement to resolve issues.
- Perform daily supervisory review of exception reports and alerts generated by the MCC supervisory tool.
- Assist in the Surveillance initiatives in particular: the scenario adequacy review, effectiveness testing, revised surveillance framework.
- Daily documentation relating to any exceptions flagged on the MCC portal, updating stakeholders with any related findings.
- Acts as a trust advisor to all stakeholders, providing updates on regulatory changes and industry best practices to ensure NWM is at the forefront to incorporate necessary changes into its business.
- Proactively provides updates and escalation to all relevant stakeholders to maintain our CE rating.
- Provide training as required on the best practice of supervising front office activities to staff.
- Represent the US on global working groups and support delivery of new supervision monitoring tools.
- Escalate any issues to the global team to reduce false positive alerts and create efficient supervision.
- Strong problem-solving skills and ability to influence business partners to remediate issues timely and accurately.
- Strong ability to represent US FO supervisors and ensure local requirements are understood and delivered sufficiently to adhere to US Compliance program.
- Collaborate across the bank to improve our supervision of the US business, sharing best practices with global partners.
- Continuously generates and progresses new ideas in an innovative way to improve the way we operate.