VP/ Associate - Global Markets E-trading Business Controls Officer

$95,000 - $175,000 yearly
  • The Resume Review - Recruiting Department
  • New York, NY, USA
  • Jun 22, 2022
Full time Information Technology

Job Description


Job description
Global Markets E-trading Business Controls Officer
The GM E-trading Business Controls Officer will be a key individual contributor on the GM E-trading Business Controls team focusing on various elements of the control program including preparing materials for the E-trading governance routines, reviewing and monitoring E-trading supervisory alerts, delivering supervisory reports, maintaining the supervisory structure including Written Supervisory Procedures (WSPs) and working with the desk for remediate any control or supervisory issues.
This position requires the ability to multi-task, assist others with complex items and those that require extensive research/data analysis, while independently prioritizing and delivering individual responsibilities.  The ideal candidate must build strong relationships with Business Partners across LOBs, Compliance, Risk Management, Enterprise Independence Testing, Audit, and Model Risk Management.  The candidate will also be expected to think analytically and contribute to effective solutions to tactical challenges. 
Role Responsibilities:
  • Ensure consistent e-trading controls across GM
  • Represent Business Controls at e-trading governance meetings, including providing first line challenge
  • Developing framework and processes to review and monitor e-trading supervisory surveillance alerts
  • Work with the E-Trading business to prioritize and remediate control or supervisory related issues and requests from E-Trading Risk Management, Audit, Model Risk Management, and Compliance
  • Maintaining e-trading awareness of key regulatory focus areas, including maintaining the supervisory structure and creation of Written Supervisory Procedures (WSPs) and updating through changing environments
  • Proactively prepare for audit and regulatory examinations, including creating and presenting documentation of controls and supervisory processes to audit and regulators
  • Perform data analysis on large set of data to develop metrics
  • Partnering with Technology to develop requirements, perform testing and ensure key deliverables are met in a timely manner
  • Drive a collaborative and output oriented culture
Required Skills:
  • Bachelor's degree
  • Minimum 5 years of experience in an Electronic Trading-related role or equivalent experience in Front Office Controls or related regulatory experience of securities laws, rules, or regulations
  • Strong technical and analytical skills
  • Strong organizational skills and ability to prioritize and manage competing priorities with excellent attention to detail
  • Ability to make recommendations and provide guidance to effectively advance projects across a globally integrated enterprise
  • Partnering - Ability to build broad-based business relationships
  • Self-motivated, operates with a sense of urgency and strong attention to detail
  • Self-starter with the ability to identify an issue, initiate a solution, and see it through to completion
  • Effective presentation skills including the ability to explain results of complex analysis at a level that resonates across many different audiences
  • Series 7 and 24 licenses preferred for US-based role (Candidates without Series 7 and 24 may be asked to obtain these licenses in a reasonable amount of time)