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Compliance and Operational Risk Manager – Global Markets Fixed Income, Currencies and Commodities

New York, New York;

Job Description:

The Compliance and Operational Risk (C&OR) Manager – Global Markets Fixed Income, Currencies and Commodities, is responsible for executing independent compliance and operational risk oversight of Front Line Units and Control Functions in accordance with the C&OR Management program and policies.  This role applies analytical and reporting skills to various elements of the C&OR program to ensure appropriate escalation of issues, themes or areas of concern relating to sales and trading businesses, with focus on overall Global Markets and Fixed Income lines of business. Examples of data subject to analysis and reporting include: operational events, surveillance data, status of regulatory and audit exams, metrics related to core processes, external event triggers, and associated potential C&OR risk outcomes.

The activities will include but are not limited to:

  • Preparation of high-profile reports and analysis of supporting data for senior executives, regulators, committee meetings and other significant program requirements.

  • Preparation of annual C&OR risk assessment and market misconduct risk assessment reports and QA.

  • Enhancement of C&OR reporting and program, and rationalizing/streamlining reporting activities across multiple groups.

  • Analysis and reporting of operational events.

  • Analysis and reporting of surveillance data.

  • Assisting in the execution of other governance and management routines and projects across the C&OR function.

Required skills and qualifications:

  • 10+ years’ relevant experience, including 3+ years incorporating reporting and governance in Operational Risk, Compliance, Operations, or other Risk functions.

  • Strong written and verbal communication skills, and ability to interact with all levels of personnel globally, including senior executives.

  • Strong analytical skills.

  • Strong ability to multi-task, focus on detail, and meet tight deadlines.

  • Ability to work in a dynamic and fast-paced environment.

  • Strong proficiency in Microsoft Office (Excel, PowerPoint, Word, Outlook) and reporting tools.

  • Bachelor’s degree or equivalent work experience

Desired Skills:

  • Database skills are a plus.

  • Advanced degrees and securities licenses are a plus

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Compliance and Operational Risk (C&OR) Manager – Global Markets Fixed Income, Currencies and Commodities, is responsible for executing independent compliance and operational risk oversight of Front Line Units and Control Functions in accordance with the C&OR Management program and policies.  This role applies analytical and reporting skills to various elements of the C&OR program to ensure appropriate escalation of issues, themes or areas of concern relating to sales and trading businesses, with focus on overall Global Markets and Fixed Income lines of business. Examples of data subject to analysis and reporting include: operational events, surveillance data, status of regulatory and audit exams, metrics related to core processes, external event triggers, and associated potential C&OR risk outcomes.

The activities will include but are not limited to:

  • Preparation of high-profile reports and analysis of supporting data for senior executives, regulators, committee meetings and other significant program requirements.

  • Preparation of annual C&OR risk assessment and market misconduct risk assessment reports and QA.

  • Enhancement of C&OR reporting and program, and rationalizing/streamlining reporting activities across multiple groups.

  • Analysis and reporting of operational events.

  • Analysis and reporting of surveillance data.

  • Assisting in the execution of other governance and management routines and projects across the C&OR function.

Required skills and qualifications:

  • 10+ years’ relevant experience, including 3+ years incorporating reporting and governance in Operational Risk, Compliance, Operations, or other Risk functions.

  • Strong written and verbal communication skills, and ability to interact with all levels of personnel globally, including senior executives.

  • Strong analytical skills.

  • Strong ability to multi-task, focus on detail, and meet tight deadlines.

  • Ability to work in a dynamic and fast-paced environment.

  • Strong proficiency in Microsoft Office (Excel, PowerPoint, Word, Outlook) and reporting tools.

  • Bachelor’s degree or equivalent work experience

Desired Skills:

  • Database skills are a plus.

  • Advanced degrees and securities licenses are a plus

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21020821

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Referral Bonus: