Equities Compliance and Operational Risk Supervisor
2 weeks ago
Equities Compliance and Operational Risk Supervisor
Location: New York, New York
Position Overview:
At Bank of America, our mission is to enhance financial lives through meaningful connections. We are committed to Responsible Growth, which shapes our operations and client interactions daily.
We strive to create an inclusive and diverse environment for our employees globally. Our investment in our teammates and their families includes competitive benefits aimed at supporting their overall well-being—physically, emotionally, and financially.
Bank of America values collaboration and flexibility, tailoring our approach to suit various roles within the organization.
Joining Bank of America offers a rewarding career with ample opportunities for personal and professional growth, empowering you to make a significant impact.
Key Responsibilities:
- Conduct assessments of risks and the effectiveness of Front Line Unit (FLU) processes and controls to ensure adherence to relevant laws, regulations, and standards.
- Engage in independent compliance and operational risk oversight of FLU or Control Function (CF) performance, including third-party/vendor relationships, in alignment with established policies.
- Identify and escalate compliance or operational risk issues, driving initiatives to address root causes effectively.
- Maintain an inventory of processes, risks, controls, and metrics related to risk appetite and limits, reporting any compliance violations.
- Assist in creating independent risk management reports for respective areas, contributing to governance and management routines.
- Analyze applicable laws and regulations to provide clear guidance to stakeholders while managing associated risks.
- Review and challenge FLU/CF processes and risk assessments, monitoring regulatory changes relevant to the coverage areas.
Required Skills:
- Proficient understanding of risk management principles.
- Excellent oral and written communication abilities.
- Knowledge of equities and equity derivatives market structures.
- Familiarity with relevant laws and regulations governing equities and equity derivatives.
- Comprehension of compliance program components, including risk assessments and trade surveillance.
- Experience with trade surveillance tools and concepts.
- Background as an advisor within a sales and trading environment.
- Capability to lead projects and influence change among senior business leaders.
The C&OR Supervisor actively collaborates with other compliance and operational risk officers to ensure comprehensive oversight of FLU/CF activities. This role is responsible for developing a global coverage plan that outlines the scope and risk-based focus of the second line's risk management activities. The C&OR Supervisor prepares materials for regulatory examinations and audits and may provide guidance to business leaders in preparation for these evaluations.
Qualifications:
Minimum of 7 years of relevant business and functional experience.
Bachelor's Degree required; experience in equity derivatives sales and trading is preferred.
Work Schedule:
1st shift (United States of America)
Hours Per Week: 40
Bank of America is an equal opportunity employer, committed to hiring qualified candidates without regard to race, religion, gender, sexual orientation, or any other factor prohibited by law. We promote a workplace free from discrimination and harassment.
For more information on our policies and benefits, please refer to our official documentation.
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