AM / Manager - Global Market Front Office Regulatory Permanent Control
2 weeks ago
Position Purpose
The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance & Control Frameworks specifically for Sanctions & Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors.
Responsibilities
Direct Responsibilities
PROTECTION
- Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions
GOVERNANCE
- Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution
RISK ASSESSMENT & CONTROLS
- Assess and document APAC regulatory landscape for capital markets activities
- Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements
- Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan
- Perform data analysis to assess quality of data feeding regulatory controls
- Execute regulatory controls and report results in governance documentation
- Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings
Technical & Behavioral Competencies
Key required skills
REGULATORY BACKGROUND
- Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope
CONTROLS PROFICIENCY
- Can assess control performance in terms of design and implementation quality
- Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders
- Has good data mining and data analysis skills (Excel at least, Python a plus)
WRITTEN PRESENTATION SKILLS
- Can prepare quality presentations for internal regulatory governance forums (ppt)
ANALYTICAL SKILLS
- Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required)
- Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered).
ADMIN SKILLS
- Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums)
Specific Qualifications (if required)
Working experience:
- 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer)
- Experience with Capital markets
- Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders
- Experience with drafting and presenting PowerPoint presentation on a regular basis
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