Job Description :
This individual will be responsible for developing and executing the Business Controls framework for Electronic Trading ( E-
Trading ) across the Global Markets FICC and Equities lines of business. This includes creating, enhancing and overseeing the e-
trading controls and processes that form the basis of the business operating environment. The role will ensure that the e-
trading business is in compliance with applicable with local laws, rules and regulations and is also implementing industry best practices.
The individual will partner closely with the E-Trading Desks, E-Trading Risk Management, COO and other support functions (e.
g., Compliance, Operational Risk, Technology, etc.) in this effort.
The candidate will need to have an understanding of e-trading for FICC and Equities products and experience in executing strategic concepts from inception to implementation.
The ideal candidate should have strong communication, analytical, technical, data and project management skills with previous exposure to Front Office, Middle Office / Trade Control and / or Compliance.
Additionally, the candidate should have the capability to navigate the overall enterprise and leverage the formal and informal organizational structure to access information, influence decision-
making, and achieve results effectively.
Position Description :
Ensure consistent e-trading controls across Global Markets Lines of Business
Represent Business Controls at e-trading governance meetings, including providing first line challenge
Developing framework and processes to review and monitor e-trading client-based supervisory surveillance alerts; Formalize and integrate existing self-
run daily supervisory e-trading reporting used for monitoring the business into the framework
Work with the E-Trading Desk heads 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 creation of Written Supervisory Procedures (WSPs) and updating through changing environments
Proactively prepare for and participate in audit and regulatory examinations, including creating and presenting documentation of controls and supervisory processes to audit and regulators
Profile / Skills :
Minimum 5 years of experience in an Electronic Trading-related role, with significant experience in Front Office Controls
Strong technical and analytical skills
Ability to make recommendations and provide guidance to effectively advance projects across a globally integrated enterprise
Excellent verbal and written communication skills with knowledge of and proficiency in the use of systems, technology and case management terminology, and the ability to translate technical terms into plain English
Partnering - Ability to build broad-based business relationships
Self-motivated, operates with a sense of urgency and strong attention to detail
Ability to multi-task and prioritize work in a deadline-intensive environment
Strong MS Word, Excel and PowerPoint skills
Related regulatory experience or general knowledge of securities laws, rules, or regulations
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
Comprehensive understanding of FICC and Equity products
Series 7 and 24 licenses preferred for US-based role (Candidates without Series 7 and 24 will be asked to obtain these licenses in a reasonable amount of time)