Vice President, Mid-Back Business Control Officer

3 weeks ago

New York, United States SMBC Group Full time

The anticipated salary range for this role is between $150,000.00 and $185,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Job Summary

The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual contributor. The BCO provides the Business Unit, specifically Middle and Back Office functions that support Nikko Securities America, Inc. with guidance on processes and control design, ensures effective assessment of risk across the transaction lifecycle, and supports Business Unit interaction with 2nd LoD functions including Risk Management and Compliance.

Scope

The Nikko Securities America, Inc. Midback Business Control Officer is primarily an individual contributor. The Nikko Securities America, Inc. Midback BCO is responsible for Middle and Back office scope of Nikko Securities America, Inc. processes & controls. The Nikko Securities America, Inc. Midback BCO reports directly to the Nikko Sales & Trading BCO. 

Primary Responsibilities

The job responsibilities are described herein:

Leads and provides expert guidance on assessment of processes and controls across the end-to-end transaction lifecycle, proactively assessing threats, vulnerabilities, and possibility of future incidents Performs process re-engineering to improve efficiency and strengthen controls within the Nikko Securities America, Inc. businesses. Coordinates Nikko Securities America, Inc.'s interactions with 2nd Line of Defense functions, Internal Audit, and Regulators pertaining to processes and controls. Coordinates management of risk appetite, limits and guideline setting & issue management for the Nikko Securities America, Inc. businesses. Performs risk management framework and related risk assessments of Nikko Securities America, Inc., supporting the Sales & Trading Vertical BCO Support Middle and Back office functions via performance of issue management & root cause analysis Liaises between Nikko Securities America, Inc. control functions to execute on 2nd Line of Defense risk assessments (e.g., RCSAs), as required Ensures the business unit is operating in compliance with applicable laws, rules, and regulations, provides oversight of processes designed to comply with the aforementioned requirements Provides education for Nikko Securities America, Inc. staff to ensure awareness of and adherence to policies, standards, and procedures, disseminating best-practice guidance Oversee Middle and Back office activities and assist specialized domain SMEs (e.g., IT Risk, Data Governance) in the implementation of their programs within the Nikko Securities America, Inc. businesses. Assess business-unit level key metrics to ensure operational effectiveness, establish and manage Nikko Securities America, Inc. level metrics, supporting the Sales & Trading Vertical BCO's vertical level assessment  Supports the head of the Nikko Securities America, Inc. strategy and product development (incl. new product development) through identification of risk & control considerations, as well as definition & operationalization of risk mitigants Ensure that risk management considerations are embedded in Nikko Securities America, Inc. processes and strategy

Critical Job Knowledge and Core Competencies/Skills

Functional knowledge of process and control design, including process mapping and process reengineering Functional knowledge of risk assessment and issue management Functional knowledge of change management and continuous process improvement practices Functional knowledge of Middle and Back office processes specific to Fixed Income, Equities, Futures and Credit Derivatives Functional knowledge of Broker/Dealer and Market Making related compliance and risk management requirements & best practices Strong communication ability, inclusive of conflict resolution and project management abilities

Requirements

Work Experience: 7 to 10 years of specialized experience in Financial Services; 5 to 7 years of experience in a similar role in a Operations/Middle Office function or a closely related area at a major global financial institution. Required Education: BA / BS in a relevant discipline (e.g., finance, accounting, mathematics, physics, engineering) Preferred Education: MA / MS / MBA in a relevant discipline (e.g., finance, accounting, mathematics, physics, engineering) Licenses / Certifications / Registrations: Series 7, 24 or 99 preferred Business fluency in the following language(s): English Software Systems / Programming Languages: Knowledge of Bloomberg TOMS, Broadridge Impact, Ullink preferred.

  • Business Risk

    1 month ago

    New York, United States Social Capital Resources Full time

    Top-Tier Investment Bank in New York City is looking for a Business Risk & Control Vice President!Responsibilities:We are seeking an Business Risk & Control Vice President level to support the CIB Global Markets Business Line within RISK, covering the Americas.Develop an awareness of all business activity and help advise on decisions with OR impacts such as...

  • Business Risk

    1 month ago

    new york city, United States Social Capital Resources Full time

    Top-Tier Investment Bank in New York City is looking for a Business Risk & Control Vice President!Responsibilities:We are seeking an Business Risk & Control Vice President level to support the CIB Global Markets Business Line within RISK, covering the Americas.Develop an awareness of all business activity and help advise on decisions with OR impacts such as...

  • Business Risk

    1 month ago

    new york city, United States Social Capital Resources Full time

    Top-Tier Investment Bank in New York City is looking for a Business Risk & Control Vice President!Responsibilities:We are seeking an Business Risk & Control Vice President level to support the CIB Global Markets Business Line within RISK, covering the Americas.Develop an awareness of all business activity and help advise on decisions with OR impacts such as...

  • Vice President of Business Expansion

    1 week ago

    New York, United States METERGY SOLUTIONS LLC Full time

    Unlock Business Growth with METERGY SOLUTIONS LLCMETERGY SOLUTIONS LLC is a leading provider of innovative submetering solutions, revolutionizing the way buildings measure and manage energy consumption. As a Vice President of Business Expansion, you will play a pivotal role in driving growth and expansion of our business in the United States.With over 20...

  • Regional Vice President

    4 weeks ago

    New York, United States Compass Group Full time

    Regional Vice PresidentClick Here to Apply OnlineJob Description Eurest NOW HIRING - REGIONAL VICE PRESIDENTCorporate Account / $175,000/yr + Performance bonus As the leader in business and industry dining, Eurest is the company to join if you want a rewarding career packed with limitless opportunities. We feed the employees of the nation's largest and...

  • Regional Vice President

    2 months ago

    New York, United States Compass Group Full time

    Regional Vice PresidentClick Here to Apply OnlineJob Description Eurest NOW HIRING - REGIONAL VICE PRESIDENTCorporate Account / $175,000/yr + Performance bonus As the leader in business and industry dining, Eurest is the company to join if you want a rewarding career packed with limitless opportunities. We feed the employees of the nation's largest and...

  • Vice President Compliance

    6 months ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

  • Senior Vice President, Audit Project Leader

    1 week ago

    New York, United States BNY Mellon Full time

    Senior Vice President, Audit Project Leader Senior Vice President, Audit Project Leader At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000 employees bring the power of...

  • Senior Vice President, Audit Project Leader

    1 week ago

    New York, United States BNY Mellon Full time

    Senior Vice President, Audit Project Leader Senior Vice President, Audit Project Leader At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000 employees bring the power of...

  • Senior Vice President, Audit Project Leader

    1 week ago

    New York, United States BNY Mellon Full time

    Senior Vice President, Audit Project Leader Senior Vice President, Audit Project Leader At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of...

  • Vice President, Back-End Engineer II

    5 days ago

    New York, United States BNY Full time

    Vice President, Back-End Engineer II  At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create...

  • Vice President of Sales

    2 weeks ago

    New York, United States W3Global Inc. Full time

    Job DescriptionJob DescriptionRole Description:This is a full-time on-site role for a Vice President of Sales with our client in New York, NY. The Vice President of Sales will be responsible for leading sales teams, developing sales strategies, managing accounts, overseeing sales operations, and driving business development initiatives.Qualifications:Sales,...

  • Vice President

    1 month ago

    New York, United States Gomez Partners Full time

    David Gomez Partners is seeking a Vice President (Systems) ASAP!Job Summary:The Vice President, Program Executive manages capital project delivery within the Systems business unit in the MTA Construction and Development (C&D) Delivery Department. Highest level position in a large program. Responsible for all phases of the program, from planning through...

  • Vice President of International Business Development

    1 week ago

    New York, United States Emerald X LLC Full time

    Vice President of International Business Development - LATAM (Emerald X LLC, New York, NY): Drive strategic expansion of Emerald’s international business, prioritizing country and sector opportunities for multi-channel go-to-market tactics (15%); Oversee, optimize, and nurture Emera...

  • Vice President of International Business Development

    2 weeks ago

    New York, United States Emerald X LLC Full time

    Vice President of International Business Development - LATAM (Emerald X LLC, New York, NY): Drive strategic expansion of Emerald’s international business, prioritizing country and sector opportunities for multi-channel go-to-market tactics (15%); Oversee, optimize, and nurture Emera...

  • Vice President

    1 week ago

    New York, United States Citigroup Inc Full time

    Create financial reports and meet with finance team to clearly summarize financial trends and provide insight to senior management. Advise on directional strategy and provide guidance on significant business/product decisions. Execute analysis of ann Vice President, Lead, Finance, Office, Private, President, Banking, Business Services

  • Assistant Vice President Contracting Services

    1 week ago

    New York, United States Metropolitan Transportation Authority Full time

    Description Position at MTA Construction & Development This position is eligible for telework which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire. JOB TITLE:Assistant Vice President, Contracting ServicesAGENCY:Construction & DevelopmentDEPT/DIV:Contracts/Contracting ServicesREPORTS TO:Vice...

  • Strategic Communications Vice President

    1 week ago

    New York, New York, United States FleishmanHillard Full time

    About FleishmanHillardFleishmanHillard is a global communications firm specializing in public relations, public affairs, marketing, paid media, and transmedia and social content. We empower our clients to navigate a world demanding authenticity and transparency.Our New York office has an immediate opening for a Vice President to join our rapidly expanding...

  • Vice President of Impact Platforms

    1 week ago

    New York, United States EPIP Full time

    ICONIQ Capital is a privately held investment firm that advises and invests on behalf of some of the world’s most influential families and organizations. We create investment opportunities and strategies for our clients to manage their lives, philanthropy, and legacy. ICONIQ Impact is ICONIQ Capital’s global platform for collaborative philanthropy. We...

  • Vice President of Impact Platforms

    1 week ago

    New York, United States EPIP Full time

    ICONIQ Capital is a privately held investment firm that advises and invests on behalf of some of the world’s most influential families and organizations. We create investment opportunities and strategies for our clients to manage their lives, philanthropy, and legacy. ICONIQ Impact is ICONIQ Capital’s global platform for collaborative philanthropy. We...