Trading Services Control Manager - Brooklyn, NY, United States
3 days ago
Job description
DescriptionJoin our Control Management team as a Vice President within Securities Services. In this dynamic role, you will be at the forefront of managing the risk and control framework for Trading Services, including Agency Securities Finance, Margin Services, Tri-Party and Depositary Receipts. As a key member of the Control Management team, you will help shape and drive the risk and control culture within the Front Office and be the primary Business Control Manager covering the Depositary Receipts Business
You will play a vital role in supporting the end-to-end operating model, identifying key risk areas, assessing necessary controls, and managing risk events to determine impact and root cause, ensuring alignment with firmwide standards. Collaboration across various Securities Services products is essential to deliver a cohesive service offering and support risk mitigation activities, including oversight of issue and action plans.
We are seeking an intellectually curious professional who can simplify complex topics, understand risk impacts, and determine proportionate approaches, while also appreciating the commercial positioning of the business. If you are enthusiastic about driving innovation and excellence in risk and control management, and are motivated to contribute to the Trading Services team within Securities Services, this position presents a unique and outstanding opportunity.
Key Responsibilities
- Trading Services Risk and Control Management: Support the end-to-end risk and control framework for Trading Services, ensuring adherence to Operational Risk and CORE Standards.
- Risk Assessment: Identify key risk areas within the operating model and assess the effectiveness of existing controls.
- Cohesion: Collaborate across Securities Services Control Management to ensure a unified and consistent approach to risk and control management.
- Risk Mitigation: Support risk mitigation activities, including oversight and tracking of issues and action plans to resolution.
- Collaboration: Partner with various departments, including Front Office, Operations, Compliance, and Audit, to ensure a consistent and integrated approach to control management.
- Incident Management: Lead or support the investigation and resolution of risk events, including root cause analysis and implementation of corrective actions.
- Continuous Improvement: Proactively identify opportunities to enhance processes, controls, and risk management practices, driving a culture of continuous improvement.
- Reporting and Communication: Prepare and deliver clear, concise risk and control reporting when necessary to senior management and relevant stakeholders.
- Regulatory Awareness: Stay informed of relevant regulatory developments and ensure controls remain effective and compliant with evolving requirements.
- Culture Building: Promote risk and control awareness across the business through engagement, guidance, and sharing of best practices.
Required Skills
- Intellectual Curiosity: A natural inclination to explore and understand complex topics.
- Communication: Exceptional communication and interpersonal skills to convey ideas clearly and effectively.
- Problem-Solving: Strong analytical and problem-solving abilities to navigate challenges.
- Simplification: Ability to distil complex information into digestible insights.
- Innovation: Comfortable managing from a conceptual idea through to practical implementation.
- Collaboration: Proven ability to work independently and as part of a team, fostering a collaborative environment.
- Adaptability: Flexibility to adapt to changing priorities and manage multiple tasks efficiently.
- Organizational Skills: Strong organizational and time-management skills to prioritize and execute tasks effectively.
Required Experience and Qualifications
- Demonstrated interest in and exposure to effective risk management practices, with a solid understanding of the three lines of defence model.
- Foundational knowledge of the Securities Services business and its key products and processes.
- Experience in one or more of the following areas: Controls, Business Management, Regulatory Affairs, Legal, Compliance, or Business Controls, with a focus on risk and control management, or strong knowledge of a Trading Services business.
- Strong analytical and problem-solving skills, with the ability to assess complex issues and recommend practical solutions.
- Excellent communication and interpersonal skills, with the ability to collaborate effectively across teams and with stakeholders at all levels.
- Proactive and self-motivated, with a commitment to continuous learning and improvement.
- Qualifications: No specific formal qualifications required
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