Compliance and Operational Risk Manager
4 days ago
At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.
We are seeking a highly skilled Compliance and Operational Risk Manager to join our team in Global Markets and Fixed Income. This role will be responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties.
Key Responsibilities- Ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively the Policies), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
- Assessing risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations.
- Engaging in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures.
- Identifying and escalating problems or issues that arise and driving actions to address the root causes that lead to compliance risk issues and/or operational risk losses.
- Managing inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities.
- Assisting in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines.
- Analyzing and interpreting applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks.
- Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage.
- Good knowledge of fixed income products and services.
- Excellent inter-personal and communication skills, including strong verbal and written communications, and be a strong and confident presenter.
- High attention to detail, diligence and conscientiousness.
- Ability to work in a dynamic and fast-paced trading floor environment.
- Bachelors Degree or equivalent experience.
- 5-7+ years experience working with fixed income products and services.
- Strong knowledge of Swaps/Derivative Market.
- Strong understanding of SEC, FINRA and CFTC rules and regulations.
- Strong experience in dealing with regulator and exchange inquiries and exams.
- Strong understanding of market misconduct laws, rules and regulations, as well as applicable surveillance controls.
- Ability to think critically and proactively on the application of controls to evolving markets, systems, and risks.
- Experience of working in investment bank / financial institution.
- Capable of working effectively both independently and with multiple teams/individuals.
- Ability to interact with staff from different areas at all levels of seniority.
- The ability to work under pressure and within tight deadlines to a consistently high level of accuracy.
- Ability to focus attention on detail as well as multi-task.
- Show initiative and react quickly to changes in priorities.
- Operational Risk Management preferably with Fixed Income product knowledge experience is advantageous.
- Advanced degrees, securities licenses, or regulator experience are advantageous, but not required.
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