Manager - Global Markets Front Office Regulatory Permanent Control

About Business line/Function:

The Chief Conduct and Control Office (GM CCCO) is a transversal team within Global Markets (GM) that is responsible for overseeing the main risks and controls, while ensuring the integrity and the sustainable development in GMs portfolio of activities. GM CCCO has a global mandate across all platforms, with teams located in Americas, EMEA and APAC.

The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors.

The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors.

Responsibilities

PROTECTION

• Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions

GOVERNANCE

• Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution

RISK ASSESSMENT CONTROLS

• Assess and document EMEA regulatory landscape for capital markets activities
• Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements
• Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan
• Perform data analysis to assess quality of data feeding regulatory controls
• Execute regulatory controls and report results in governance documentation
• Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings

REGULATORY BACKGROUND

• Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope

CONTROLS PROFICIENCY

• Can assess control performance in terms of design and implementation quality
• Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders
• Has good data mining and data analysis skills (Excel at least, Python a plus)

WRITTEN PRESENTATION SKILLS

• Can prepare quality presentations for internal regulatory governance forums (ppt)

ANALYTICAL SKILLS

• Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required)
• Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered).

ADMIN SKILLS

• Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums)

• 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer)
• Experience with Capital markets
• Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders
• Experience with drafting and presenting PowerPoint presentation on a regular basis

Skills Referential

Behavioural Skills: (Please select up to 4 skills)

Ability to deliver / Results driven

Attention to detail / rigor

Communication skills - oral written

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Transversal Skills: (Please select up to 5 skills)

Ability to develop and leverage networks

Ability to manage / facilitate a meeting, seminar, committee, training

Analytical Ability

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Education Level:

Master Degree or equivalent

Experience Level

At least 5 years

Other/Specific Qualifications