Compliance & Operational Risk Manager - Global Markets
Core
Execute second line of defense compliance and operational risk oversight for Front Line Units, Control Functions, and third parties in Global Markets.
Role type
Senior IC compliance and operational risk manager
Builds
Independent risk management reporting and compliance oversight for Global Markets business
Domain
Financial services / Fixed income markets / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance, Risk management, Fixed income markets knowledge, Laws and regulations interpretation, Issue management, Process management, Reporting, Critical thinking
Preferred skills
Regulatory examination experience, Market misconduct laws knowledge, SEC/FINRA/CFTC rules knowledge, Operational Risk Management with fixed income experience
Technologies
None stated
Responsibilities
Assess risks and effectiveness of Front Line Unit processes and controls, Identify and escalate compliance and operational risk issues, Analyze and interpret applicable laws and regulations, Review and challenge FLU/CF processes and risk assessments, Assist with responding to regulatory inquiries, Participate in internal investigations, Review new business initiatives, Develop and deliver compliance training
Seniority
Senior, hands-on IC