Sr Business Control Specialist - Global Fixed Income Operations

$89,000 - $110,000 yearly
  • The Resume Review - Recruiting Department
  • Charlotte, NC, USA
  • Apr 20, 2022
Full time Business Development Sales

Job Description

Job description
Line of Business Role Description
The Fixed Income, Operations team performs end to end trade control, confirmation and settlements processes across Fixed Income businesses globally.  Fixed Income Operations is part of Global Market Operations who provide operational support to the Global Markets Business including as an example, Equities, Derivatives, FX, commodities, Futures & options and collateral.
The Operational Risk and Control Team provides support to Fixed Income operations management including identification and remediation of risk issues, audit issue management, investigation of operational losses, and management and preparation for regulatory and audit reviews.  This role will be an integral part of the Operations Fixed Income Operations team and the Global Markets Risk team. The Sr Business Control Specialist supports the Fixed Income Operations Risk Leads globally and also Operations teams located in New York, Charlotte, Dublin, Chester and the APAC region, depending on their assigned products.  This role will be part of a global team of risk management professionals working in NY, Charlotte, UK, and Singapore.  The role supports Risk Leads globally in delivering the Risk and Control mandate in support of the Fixed Income Operations business to identify key risks and solutions to  improve the risk profile of the area. 
This role will provide analytical support in executing internal control discipline and operational excellence within the Fixed Income Line of business. It will gather and organize data in order to monitor and test the effectiveness of key controls and status of mitigation and action plans. Prepare documentation for the tracking, monitoring, and escalation of risk related issues to management. Acts as an ambassador of the risk culture. The ideal candidates should have prior experience of Operations either in an Operations line role or through a role in Operational Risk, Finance, Compliance or Audit. Following a recent organizational restructure, this is an exciting opportunity to join a team and contribute to the new strategy and direction of Global Markets Operations risk.
  • Responsible for supporting Fixed Income Operations with the identification and management of risks, issues and governance routines.
  • Support Fixed Income Risk Leads and line of business during regulatory examinations, internal audits, and targeted assessments.
  • Support Fixed Income Operations with operational risk incident administration. To include risk impact, root cause and remediation efforts.
  • Under guidance from Risk Leads, carry out risk reviews to help identify risk and control issues.  
  • Support operations teams in identifying appropriate remediation solutions.
  • Assist with maintaining risk management routines such as risk meetings, operational loss reviews, risk and performance metric monitoring in support of Fixed Income Operation
  • Help the line of busines with new policy requirement implementation and requirements execution.
Required Skills
  • Minimum 5 years of practical experience in an Operations, Compliance, Finance or Audit role.
  • Ability to work in a global organization. Basic Understanding or operational processes. Experience in Global Markets Operations or Risk would help.
  • Ability to communicate effectively.  Willingness to challenge existing processes and questions control environment.
  • Analytical skills with the ability to evaluate information. 
  • Project management skills, including the ability to prioritize work and meet deadlines
  • Team player and a strong individual contributor.   
  • Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world