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GMO Global Audit Management and Regulatory Oversight Coordinator

Bromley, , United Kingdom;

Job Description:

Job Title: GMO Global Audit Management and Regulatory Oversight Coordinator

Corporate Title: Vice President

Location: Bromley / Dublin / Chester

Role Description:

Working with the Global Audit and Regulatory Lead this role will support the centralised Risk Governance and Oversight routines for Core Operations functions for Global Market Operations. This position is highly visible, working with all FLUs within Global Market Operations, GCOR, Corporate Audit and Key support partners.

Key responsibilities include:

  • Primary contact representing Global Markets Operations for all horizontal Corporate Audits and Regulatory Exams to ensure a collective consistent framework across the organisation.
  • Provide support, including centralised oversight and facilitation, for exams and inquires impacting multiple Global Markets Operations FLUs.
  • Coordinate with impacted GMO FLUs, Enterprise Partners and Risk to ensure all requests are communicated and delivered accurately and timely.
  • Maintain documentation supporting the existing Regulatory Centre of Excellence framework to sure all requirements are met.
  • Maintain protocols and adherence to Regulatory and Audit Guidelines including leading on Divisional Training where required.
  • Work with GBAM Regulatory Engagement to ensure consistent application and adherence to Enterprise Standards within Global Market Operations.
  • Track examination and audit status and work with associated FLUs and Risk Partners to mitigate the risk over issues identified.
  • Develop and maintain strong relationships with internal business, control and risk partners.
  • Deliver on effective management routines, communications and escalation protocols to ensure all required periodic and ad hoc deliverables are met.
  • Support divisional teams in creation, consolidation and review of exam and audit materials including maintenance of central inventory of preliminary documentation for exam and audit management on ongoing refresh process across divisions.

The Team:

Global Markets Operations (GMO) delivers end-to-end support for Global Markets sales, trading businesses, and certain shared services across securities, derivatives, foreign exchange, futures, options and commodities products for Corporate Treasury, Corporate Investment Portfolio and GWIM. GMO Risk & Control is aligned to provide a centralized risk model driving consistency through an end-to-end horizontal risk management and oversight function, as well as dedicated risk expertise to support the lines of business and regions. The Horizontal Risk Function will provide a centralized view of GMO Risk, support ad hoc initiatives and risk assessments, together with the oversight and support of Regulatory requirements and Corporate Audits impacting GMO.

Core Skills:

  • Broad exposure to the front to back processes across Global Markets Operations an advantage. Proven experience in drafting communications and presentation materials intended for senior audiences is essential.
  • Organizational, planning, communication (written and oral), and presentation skills with attention to detail.
  • Excellent project management skills.
  • Self-starter with the ability to influence, build trusted relationships, deal constructively with conflict, problem solve / troubleshoot issues for themselves and others, and adapt to a fast-paced environment involving multiple and simultaneous deliverables.
  • Excellent written and verbal presentation and communication skills.
  • Knowledge of enterprise risk framework, enterprise policies, procedures, and standards preferred. Given the nature of the role, the ability to display flexibility given unpredictability of requests and ability to prioritise accordingly.
  • Previous Regulatory or Audit Oversight management experience is beneficial but not required.

Bank of America:

Every day, across the globe, our employees bring a commitment to our purpose and to driving responsible growth by living our values: deliver together, act responsibly, realize the power of our people and trust the team. A key aspect of driving responsible growth is doing so in a sustainable manner, a critical pillar of which is being a great place to work for our teammates.

In line with these values, in EMEA we have 9 Employee Networks, a wide range of Sports & Social clubs, and other development and networking opportunities so that you can enjoy a range of experiences and connect with colleagues across the bank. We also offer exclusive discounts to some of the most iconic cultural experiences for you to enjoy in your spare time outside of work. Learn more about our benefits here.

Good conduct and sound judgment is crucial to our long term success. It’s important that all employees in the organisation understand the expected standards of conduct and how we manage conduct risk. Individual accountability and an ownership mind-set are the cornerstones of our Code of Conduct and are at the heart of managing risk well.

We are an equal opportunities employer, and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, socio-economic background, responsibilities for dependants, physical or mental disability. The Bank selects candidates for interview based on their skills, qualifications and experience.

We strive to ensure that our recruitment processes are accessible for all candidates and encourage any candidates to tell us about any adjustment requirements. As part of our standard hiring process to manage risk, please note background screening checks will be conducted on all hires before commencing employment.

Job Band:

H5

Shift: 

Hours Per Week:

35

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Job Title: GMO Global Audit Management and Regulatory Oversight Coordinator

Corporate Title: Vice President

Location: Bromley / Dublin / Chester

Role Description:

Working with the Global Audit and Regulatory Lead this role will support the centralised Risk Governance and Oversight routines for Core Operations functions for Global Market Operations. This position is highly visible, working with all FLUs within Global Market Operations, GCOR, Corporate Audit and Key support partners.

Key responsibilities include:

  • Primary contact representing Global Markets Operations for all horizontal Corporate Audits and Regulatory Exams to ensure a collective consistent framework across the organisation.
  • Provide support, including centralised oversight and facilitation, for exams and inquires impacting multiple Global Markets Operations FLUs.
  • Coordinate with impacted GMO FLUs, Enterprise Partners and Risk to ensure all requests are communicated and delivered accurately and timely.
  • Maintain documentation supporting the existing Regulatory Centre of Excellence framework to sure all requirements are met.
  • Maintain protocols and adherence to Regulatory and Audit Guidelines including leading on Divisional Training where required.
  • Work with GBAM Regulatory Engagement to ensure consistent application and adherence to Enterprise Standards within Global Market Operations.
  • Track examination and audit status and work with associated FLUs and Risk Partners to mitigate the risk over issues identified.
  • Develop and maintain strong relationships with internal business, control and risk partners.
  • Deliver on effective management routines, communications and escalation protocols to ensure all required periodic and ad hoc deliverables are met.
  • Support divisional teams in creation, consolidation and review of exam and audit materials including maintenance of central inventory of preliminary documentation for exam and audit management on ongoing refresh process across divisions.

The Team:

Global Markets Operations (GMO) delivers end-to-end support for Global Markets sales, trading businesses, and certain shared services across securities, derivatives, foreign exchange, futures, options and commodities products for Corporate Treasury, Corporate Investment Portfolio and GWIM. GMO Risk & Control is aligned to provide a centralized risk model driving consistency through an end-to-end horizontal risk management and oversight function, as well as dedicated risk expertise to support the lines of business and regions. The Horizontal Risk Function will provide a centralized view of GMO Risk, support ad hoc initiatives and risk assessments, together with the oversight and support of Regulatory requirements and Corporate Audits impacting GMO.

Core Skills:

  • Broad exposure to the front to back processes across Global Markets Operations an advantage. Proven experience in drafting communications and presentation materials intended for senior audiences is essential.
  • Organizational, planning, communication (written and oral), and presentation skills with attention to detail.
  • Excellent project management skills.
  • Self-starter with the ability to influence, build trusted relationships, deal constructively with conflict, problem solve / troubleshoot issues for themselves and others, and adapt to a fast-paced environment involving multiple and simultaneous deliverables.
  • Excellent written and verbal presentation and communication skills.
  • Knowledge of enterprise risk framework, enterprise policies, procedures, and standards preferred. Given the nature of the role, the ability to display flexibility given unpredictability of requests and ability to prioritise accordingly.
  • Previous Regulatory or Audit Oversight management experience is beneficial but not required.

Bank of America:

Every day, across the globe, our employees bring a commitment to our purpose and to driving responsible growth by living our values: deliver together, act responsibly, realize the power of our people and trust the team. A key aspect of driving responsible growth is doing so in a sustainable manner, a critical pillar of which is being a great place to work for our teammates.

In line with these values, in EMEA we have 9 Employee Networks, a wide range of Sports & Social clubs, and other development and networking opportunities so that you can enjoy a range of experiences and connect with colleagues across the bank. We also offer exclusive discounts to some of the most iconic cultural experiences for you to enjoy in your spare time outside of work. Learn more about our benefits here.

Good conduct and sound judgment is crucial to our long term success. It’s important that all employees in the organisation understand the expected standards of conduct and how we manage conduct risk. Individual accountability and an ownership mind-set are the cornerstones of our Code of Conduct and are at the heart of managing risk well.

We are an equal opportunities employer, and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, socio-economic background, responsibilities for dependants, physical or mental disability. The Bank selects candidates for interview based on their skills, qualifications and experience.

We strive to ensure that our recruitment processes are accessible for all candidates and encourage any candidates to tell us about any adjustment requirements. As part of our standard hiring process to manage risk, please note background screening checks will be conducted on all hires before commencing employment.

Learn more about this role

Full time

JR-22015612

Band: H5

Manages People:

Manager:

Talent Acquisition Contact:

Katie Whitehead

Referral Bonus:

0