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Business Strategy & Initiative Mgr

New York, New York;

Job Description:

The Business Strategy and Initiatives Manager acts as an objective advisor to Enterprise, LOB and/or ECF Compliance leaders. Functions that are managed may include: financial oversight & integration, compliance process oversight, staffing process execution, service quality, process improvement, business continuity, SPOC control, workplace management and communication. The Business Strategy and Initiatives Manager drives execution of key strategic initiatives. This role leads reporting and analytical efforts and leads the design, development, execution and continuous improvement of reporting and dashboards The Business Strategy and Initiatives Manager executes business/strategic planning process within Enterprise, LOB or ECF Compliance functions. This role may contribute as a manager responsible for providing leadership direction to attract, assess, develop, motivate and retain a small team, or may act as an individual contributor.

The Surveillance Strategy Compliance and Operational Risk Manager contributes to the independent compliance and operational risk oversight of the Global Banking and Markets surveillance program in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs). As a member of the Global COR team, this role applies business acumen to promote a culture of risk management and the identification, escalation and timely mitigation of compliance and operational risks by assisting the Global Surveillance Strategy COR team. Responsibilities will include:
• Draft and prepare Surveillance Strategy reporting and presentations for the GBAM business, senior management, and regulators, including the OCC, FRB, FDIC, SEC, and FINRA.
• Draft and prepare updates for governance forums and committees, including preparing updates for the Global Markets Risk Committee, Chief Risk Officer (CRO) Memorandums, BANA Global Markets Governance Forum and other legal entity and Surveillance routines.
• Prepare background information, materials, and lead prep sessions with senior management in advance of regulatory meetings and other routines, as necessary.
• Attend and participate in meetings with the Global COR and technology partners, as necessary.
• Coordinate and track deliverables and responses for upcoming regulatory deadlines, including MRA and MRIA deliverables. Coordinate and lead review sessions with Global COR and technology businesses, as necessary.
• Assist Global Surveillance Strategy team with other deliverables, including issues management, training, conflicts, horizon risk, and conduct-related matters.
• Manage ad hoc strategic projects and initiatives and provide project management support for the Global Surveillance Strategy program.
 

Qualifications:
• Bachelor’s degree;
• 4+ years of general broker-dealer experience with trading and/or surveillance technology;
• Ability to work effectively in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
• Strong strategic, problem solving, and analytical skills;
• People skills, leadership qualities, and communication skills;
• Motivation, diligence, and excellent writing skills;
• Excellent organizational skills;
• Attention to detail;
• Ability to work on multiple projects in a fast paced environment;
• Ability to run SQL queries a produce statistical reports;
• Regulatory experience a plus but not required.
 

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Business Strategy and Initiatives Manager acts as an objective advisor to Enterprise, LOB and/or ECF Compliance leaders. Functions that are managed may include: financial oversight & integration, compliance process oversight, staffing process execution, service quality, process improvement, business continuity, SPOC control, workplace management and communication. The Business Strategy and Initiatives Manager drives execution of key strategic initiatives. This role leads reporting and analytical efforts and leads the design, development, execution and continuous improvement of reporting and dashboards The Business Strategy and Initiatives Manager executes business/strategic planning process within Enterprise, LOB or ECF Compliance functions. This role may contribute as a manager responsible for providing leadership direction to attract, assess, develop, motivate and retain a small team, or may act as an individual contributor.

The Surveillance Strategy Compliance and Operational Risk Manager contributes to the independent compliance and operational risk oversight of the Global Banking and Markets surveillance program in alignment with the Global Compliance Enterprise Policy, the Operational Risk Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs). As a member of the Global COR team, this role applies business acumen to promote a culture of risk management and the identification, escalation and timely mitigation of compliance and operational risks by assisting the Global Surveillance Strategy COR team. Responsibilities will include:
• Draft and prepare Surveillance Strategy reporting and presentations for the GBAM business, senior management, and regulators, including the OCC, FRB, FDIC, SEC, and FINRA.
• Draft and prepare updates for governance forums and committees, including preparing updates for the Global Markets Risk Committee, Chief Risk Officer (CRO) Memorandums, BANA Global Markets Governance Forum and other legal entity and Surveillance routines.
• Prepare background information, materials, and lead prep sessions with senior management in advance of regulatory meetings and other routines, as necessary.
• Attend and participate in meetings with the Global COR and technology partners, as necessary.
• Coordinate and track deliverables and responses for upcoming regulatory deadlines, including MRA and MRIA deliverables. Coordinate and lead review sessions with Global COR and technology businesses, as necessary.
• Assist Global Surveillance Strategy team with other deliverables, including issues management, training, conflicts, horizon risk, and conduct-related matters.
• Manage ad hoc strategic projects and initiatives and provide project management support for the Global Surveillance Strategy program.
 

Qualifications:
• Bachelor’s degree;
• 4+ years of general broker-dealer experience with trading and/or surveillance technology;
• Ability to work effectively in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
• Strong strategic, problem solving, and analytical skills;
• People skills, leadership qualities, and communication skills;
• Motivation, diligence, and excellent writing skills;
• Excellent organizational skills;
• Attention to detail;
• Ability to work on multiple projects in a fast paced environment;
• Ability to run SQL queries a produce statistical reports;
• Regulatory experience a plus but not required.
 

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21061316

Band: H4

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Alexander Watkins

Referral Bonus:

0