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The Global Markets Business Controls Office (BCO) is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business Front Line Unit (FLU).
BCO is a global group with teams in many locations including New York, Charlotte, London, Paris, Hong Kong, Singapore and Tokyo providing control oversight to Sales, Trading, Electronic/Algorithmic and Research businesses across Global Markets in respect of regulatory and governance programs.
Position Description/Responsibilities:
BCO has an open role for a senior Business Controls Executive, at Director level, to work within a global team of trade surveillance specialists, focused in one of the following: FX, Rates, Credit, Commodities, Mortgages, Equities, E-Trading. This position will require deep product knowledge / ex-trading experience to provide expertise to key aspects of the bank's Trade Surveillance Framework in the FLU or 1st Line, including surveillance scenario design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and support with investigations.
The successful candidate will report to the Head of GM BCO Central Trade Surveillance Global Markets Business Controls Office. They will undertake the day-to-day development and/or enhancement of Trade Surveillance focused in one of the above mentioned asset classes. They will have a deep knowledge of trading, together with an understanding of Market Misconduct behaviors and other Trading and Sales applicable regulations related to this asset class.
This individual will work closely with the LOB supervisors and senior management/COOs and other support functions (e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources). Their goal will be to ensure that there are no gaps in surveillance or venue coverage and that trade data quality is good and complete, identify instances where surveillance can be improved to reduce noise from false-positive alerts ensuring that the line of business is in compliance with applicable rules, regulations and implementing industry best practices.
Profile/Skills:
Candidate must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:
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