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DIR- GCIB Business Controls- Head of Communications Review Group

New York, New York

Job Description:

Job Description Summary

Manages diverse administrative functions usually for a very large, complex department or for a complete line of business that may be regional or national in scope, often requiring associates in one or more location. Functions managed may include: financial control/budgeting and consolidation, personnel processes, audit/compliance, premises, and coordination of certain projects, associate training, service quality, process improvement, business continuity, or communication. Consults with senior management in evaluating current methods and developing strategies to implement changes and improvements. Requires a thorough knowledge of the department or business units functional area or products. Working knowledge of general bank policies, programs and procedures and financial/accounting practices. Generally has full management responsibility over a relatively large team and may manage one or more levels of managers.

Director, GCIB Business Controls- Head of the Communications Review

The candidate will join the Global Corporate and Investment Banking (GCIB) Business Controls organization as Global Head of the Communications Review Group (CRG).  GCIB CRG is responsible for surveillance of communications to identify potential conduct issues, including but not limited to market misconduct, misuse use of confidential information, conflicts of interest, and violations of Company policies, standards and procedures. The candidate will manage the team in all regions (AMRS, EMEA, and APAC) and interface with senior management across multiple lines of business (Investment Banking, Capital Markets, GTS, Corporate Banking, Business Controls, Legal, Technology, HR, etc.)  on high impact and high visibility projects focused on managing and advancing the surveillance program and team optimization.

The Global Head will be responsible for engagement with technology teams and vendors, ownership for driving and communicating ongoing business requirements, surveillance enhancements, and partnering to identify, communicate and resolve any technical or infrastructure issues impacting surveillance programs.  The Global Head will leverage strategic partnerships across multiple lines of business to ensure appropriate risk mitigation in protection of the Bank.

Responsibilities include:

  • Formulate strategies and presentations to demonstrate growth and increased efficacy of surveillance programs

  • Manage and coordinate the E-Communications Data Governance Forum and other related meetings

  • Work collaboratively with business partners (e.g., BCO, Lines of Business Management, Compliance & Operational Risk, Technology, Legal, HR etc.) for ad hoc requests and support

  • Drive process improvement initiatives to create more effective and efficient risk mitigation

  • Evaluate and enhance voice surveillance program

  • Represent the group in communication/presentations with senior management, regulators, and auditors

Requirements:

  • Must be self-motivated and very execution focused

  • Extensive experience leading technology initiatives and directly or indirectly managing development

  • Highly organized and detail oriented

  • Ability to work collaboratively and develop strong relationships with multiple functional partners and stakeholders (Line of business, Technology, Compliance)

  • Excellent verbal and written communication / presentation skills – ability to present to senior management and interface directly with third party management

  • 10+ years industry experience

  • Experience with compliance risk management and surveillance technology

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Job Description Summary

Manages diverse administrative functions usually for a very large, complex department or for a complete line of business that may be regional or national in scope, often requiring associates in one or more location. Functions managed may include: financial control/budgeting and consolidation, personnel processes, audit/compliance, premises, and coordination of certain projects, associate training, service quality, process improvement, business continuity, or communication. Consults with senior management in evaluating current methods and developing strategies to implement changes and improvements. Requires a thorough knowledge of the department or business units functional area or products. Working knowledge of general bank policies, programs and procedures and financial/accounting practices. Generally has full management responsibility over a relatively large team and may manage one or more levels of managers.

Director, GCIB Business Controls- Head of the Communications Review

The candidate will join the Global Corporate and Investment Banking (GCIB) Business Controls organization as Global Head of the Communications Review Group (CRG).  GCIB CRG is responsible for surveillance of communications to identify potential conduct issues, including but not limited to market misconduct, misuse use of confidential information, conflicts of interest, and violations of Company policies, standards and procedures. The candidate will manage the team in all regions (AMRS, EMEA, and APAC) and interface with senior management across multiple lines of business (Investment Banking, Capital Markets, GTS, Corporate Banking, Business Controls, Legal, Technology, HR, etc.)  on high impact and high visibility projects focused on managing and advancing the surveillance program and team optimization.

The Global Head will be responsible for engagement with technology teams and vendors, ownership for driving and communicating ongoing business requirements, surveillance enhancements, and partnering to identify, communicate and resolve any technical or infrastructure issues impacting surveillance programs.  The Global Head will leverage strategic partnerships across multiple lines of business to ensure appropriate risk mitigation in protection of the Bank.

Responsibilities include:

  • Formulate strategies and presentations to demonstrate growth and increased efficacy of surveillance programs

  • Manage and coordinate the E-Communications Data Governance Forum and other related meetings

  • Work collaboratively with business partners (e.g., BCO, Lines of Business Management, Compliance & Operational Risk, Technology, Legal, HR etc.) for ad hoc requests and support

  • Drive process improvement initiatives to create more effective and efficient risk mitigation

  • Evaluate and enhance voice surveillance program

  • Represent the group in communication/presentations with senior management, regulators, and auditors

Requirements:

  • Must be self-motivated and very execution focused

  • Extensive experience leading technology initiatives and directly or indirectly managing development

  • Highly organized and detail oriented

  • Ability to work collaboratively and develop strong relationships with multiple functional partners and stakeholders (Line of business, Technology, Compliance)

  • Excellent verbal and written communication / presentation skills – ability to present to senior management and interface directly with third party management

  • 10+ years industry experience

  • Experience with compliance risk management and surveillance technology

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-22092565

Band: H4

Manages People: No

Travel: Yes, 15% of the time

Manager:

Talent Acquisition Contact:

Gracie Hache

Referral Bonus:

0

New York City pay and benefits information

New York City pay range:

$100,000 - $250,000 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.

Street Address

Primary Location:
1133 Ave Of The Americas, NY, New York, 10036