CIB Control - Trade Surveillance Lead Control Management Officer

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In this role, you will:

• Be responsible for engagement with MRM function and lead regular recertification and Target Scope Validation processes to support ongoing development of Surveillance models, performing regular performance testing in line Model Risk Management policy, report on model's performance and material changes to model’s design

• Support the model threshold calibration exercise

• Manage vendor relationship and participate in discussions to enhance existing Surveillance capabilities in line with regulatory and industry standards.

• Partner with Control team, Business Heads, Technology, Compliance and relevant Support teams to build out robust surveillance scenarios.

• Interrogate a database system for investigation, analysis, and preparation of statistical reports to understand alert triggers and trading behavior.

• Perform deep dives into data sets, understand how patterns of data may be associated with market abuse.

• Identify opportunities for process improvement and risk control development by participating in different Trade Surveillance activities.

Crucial to this role is a sense of urgency, passion for results, and personal accountability for achievement.  Successful candidates will have a quantitative background, extensive knowledge of financial products and Market Abuse Regulations.

Required Qualifications, US:

• 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• 5+ years of Surveillance Model Risk Management, Product Management, Technology, Data Science

Desired Qualifications:

• Strong analytical skills with high attention to detail and accuracy

• Experience working on quantitative models

• Demonstrated direct or indirect experience with Trade Surveillance in either First Line or Second Line roles

• Experience with Market Conduct, Market abuse controls and Supervisory review processes 

• Prior experience at Market Oversight including any regulatory or government agencies

• Prior experience in process improvement, automation of control processes

• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions and associated risk manifestation 

• Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.)

• Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner to senior leadership, testing functions and regulators

• Professionalism, adaptability and strong collaboration skills

• Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives

• Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently

• Demonstrated capacity to pro-actively and independently analyze and solve problems and address risks

Job Expectations:

•              Ability to travel up to 10%

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range