Markets Operational Risk and Controls
2 weeks ago
Job Title:
Markets Operational Risk and Controls - Third Party Risk
Location:
New York, NY (Hybrid) Local prefer
Duration: 6+ Months
Job Purpose
The Markets Operational Risk and Controls (Operations & Middle Office) Group is a group within Markets responsible for providing front to back connectivity with support functions in proactively developing and implementing solutions to control and monitor third-party risk activities to ensure they operate within risk appetite.
The team establishes and maintains a robust 1st Line of Defense control environment and culture to minimize operational risk within the business.
The objective of the group is to manage Market's exposure to third-party risks by identifying Risk Exposures within the business functions related to overall Risk Appetite, Governance, and Accountability.
In collaboration with other areas, will also be assessing control enhancement opportunities and determining actions necessary to manage exposure within Internal Third-Party Risk.
The successful candidate will require a comprehensive and wide-ranging understanding of Risk Management protocols and expertise within multiple areas of Operations/Middle Office functions and how they interact to achieve the objectives of the function.
The candidate must possess a complete appreciation of how the introduction of new and/or changes to existing regulations, processes, systems, controls and infrastructure may impact the business.
The candidate is required to be familiar with Risk & Control compliance requirements for a global Markets business and able to provide advanced judgement/conduct in-depth quantitative and qualitative analysis to solve problems and develop new, innovative solutions.
Key responsibilities:Responsible for effective partnership with Operations, Technology, Operational Risk Management (ORM) and other groups to continuously enhance (design, implement, and deliver) global Operations processing risk control framework.
Lead efforts to ensure commitment made to regulators are met related to third-party risk.Provide solutions to minimise Manual Touch points arising from Markets business activity.
Responsible for delivery of a small and large scale risk programs and workstreams.
Responsible for daily monitoring of key ratings and indicators to determine whether Operations is operating within (or out of) Thrid-Party Risk Appetite.
SME level support in assessing End to End Risks and Controls design to determine gaps in Inter-Affiliate framework.Identify control weaknesses & gaps, report results, raise Issues (as needed) and track to resolution by collaborating with Markets colleagues so that issues have corresponding implementable actions and ownership through to closure, whilst aiming for automation of enhanced controls, where appropriate.
Responsible for quality of reports including issues, overall control enhancements and action plans in collaboration with key business stakeholders including Markets Management, Operations, ORM and ICRM as appropriate.
Responsible for completing tasks within broader projects to agreed timescales, whilst keeping stakeholders up to date on progress and escalating any blockers.
Building and maintaining an excellent relationship with Operations, ORM and other stakeholders.Assist in creating and submitting timely Governance updates on progress against plan, key issues identified and escalating accordingly.
Knowledge, Experience & Skills:
SME level experience in risk management with a focus on Operations risk and controls (e.g. Margin, Settlements, Middle Office, Reconciliations, Trade Booking).
Excellent leadership, ownership, accountability, and delivery skills.
Proven track record of ability to recognise the issue and process weaknesses.
Proven track record ability to take a lead and drive control enhancements within Operations/Middle Office .
Strong ability to perform targeted "deep-dive" assessments.
SME level understanding of broad range of functions and processes across Operations/Middle Office risks and related controls, associated with Markets businesses.
Comprehensive understanding of control design and ability to independently perform controls effectiveness assessment.Experience in financial services; experience in planning, scoping and/or leading execution of Internal Audit, Compliance or First Line assurance projects preferable.
Experience in project management implementation.Exceptional organizational and time management skills.
Qualifications:
Bachelor's/University degree or equivalent experience
Related certifications (CPA, ACA, CFA, CIA, ACCA, CISA or similar) preferred
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