Global Investment Banking
3 weeks ago
Business Overview
Our Global Corporate & Investment Banking business focuses on building long-term relationships with more than 6,000 large U.S. and multinational corporations, financial institutions and financial sponsors. We provide strong advisory expertise, capitalizing on powerful mergers and acquisitions, corporate banking, treasury, debt and equity product expertise to deliver integrated financial solutions.
Job Description
The role revolves around undertaking and supporting supervision and business controls activities in the Global Corporate and Investment Banking ("GCIB") Business Controls organization, specifically for the Global Investment Banking business. Candidate would be the AMRS lead for the Investment Banking businesses and act as the global coordinator within GCIB Business Controls for overall Investment Banking. Role involves managing a team, therefore prior management experience is preferred, although not required.
Candidate must be able to thrive in a fast-paced and high-pressure environment while ensuring the Line of Business ("LOB") is in compliance with applicable laws/rules, regulations and implementing industry best practices. Primary Business Controls Officer ("BCO") responsibilities include:
- Creating, enhancing and oversight of Front Line Unit ("FLU") controls and processes that create the framework that makes up the business operating environment, which include the administration and enforcement of the supervisory program
- Working closely with LOB Supervisors and delegates/support groups in managing the day-to-day supervision infrastructure (e.g., supervisory responsibilities matrices, supervisor alignments, supervisor acknowledgements/attestations, etc.), including performing delegated supervisory tasks as required
- Performing GCIB centralized functions and controls routines (e.g., BCO led Quality Assurance ("QA") routines)
- Maintaining global transparency and consistency (and regional customization where appropriate) of business controls driven processes/controls and supervisory accountabilities, including enhancement of associated documentation (e.g. Written Supervisory Procedures, Desktop procedures/guidelines, etc.); Includes understanding corresponding policies to local laws/rules/regulations
- Participating in LOB and programmatic governance routines and internal/external exams, including preparing documentation, contributing towards meeting materials, and presenting to senior business and support/control partner leaders (and regulators as required)
- Participating in LOB and programmatic governance routines, including preparing documentation, contributing towards meeting materials, and presenting to senior business and support/control partner leaders
- Partnering with GCIB COO teams to supporting LOB on internal exams (e.g., audits, targeted risk assessments, etc.) and external regulator meetings/exams, including preparing LOB leaders for meetings, providing exam responses and documentation, and presenting to auditors, risk, regulators as required.
- Driving Operational Risk and Operational Excellence program deliverables on behalf of the FLU/LOB (e.g., Risk and Control Self Assessments, Operational Events, Metrics, Single Process Inventory., etc.)
- Collaborating with LOB and Control/Support Partner groups (Operations, Legal and Compliance, Finance, Risk, Technology, HR, Audit) to ensure end-to-end processes for all client and deal/transactional activity are controlled, including working with these partners to improve the quality of supervisory reporting/tools and FLU controls/monitoring processes
- Undertaking Business Controls program-wide and large scale Cross GCIB initiatives to enrich the GCIB control framework, including ownership of identification through resolution of Audit Issues and performance of deep-dives to identify control weaknesses or gaps in processes/activities requiring remediation; Includes maintaining thorough documentation through the course of projects in order to present project progress updates and results to GCIB senior management (e.g., PowerPoint Presentations are a common request)
- Strong academic background or equivalent experience
- An understanding of Global Corporate and Investment Banking products, services and processes
- Good IT skills (e.g., MS Office tools), especially PowerPoint and Excel, and the ability to develop ad hoc solutions
- Ability to run complex tasks and deploy collaborative and analytical approaches
- Strong organizational, analytical and communication skills.
- Exceptional relationship management skills - ability to be comfortable liaising with Senior Business Controls Management, Line of Business Management, and control functions (e.g. Compliance, Audit, Technology, Operations, Human Resources, etc.) to identify potential improvements, develop strategies to implement change, and oversee/manage implementation.
- May be asked to complete/obtain local licenses
- Self-motivated and results oriented with strong desire to succeed
- Takes initiative and demonstrates focused desire to drive improvements, including able to deliver results with limited direction and supervision
- Professional approach with a clear and logical thought process and attention to detail
- Shows initiative and reacts quickly to changes in priorities with the ability to quickly learn new processes and procedures
- Excellent verbal and written communication skills (including presentation skills) with ability to simplify complex information into messages targeted to both targeted groups and large audiences, including various levels of leadership
- Excellent critical thinking/problem solving skills
- Ability to make recommendations and provide guidance to effectively advance projects across a globally integrated enterprise
Shift:
1st shift (United States of America)
Hours Per Week:
40
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