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Sr Business Control Specialist - Reg/External Risk Lead (B5)

Chicago, Illinois

Job Description:

This role is to primarily to provide Ops Risk & Control (OR&C) support for Regulatory/External Requests Coordination for the Global Collateral Operations and Exchange Traded Derivative Operations (GCO & ETD Ops) Line of Business (LOB).  Working in a global team, and in close partnership with the global LOB leads, the successful candidate will be responsible for helping to support centralized coordination for all regulatory and external requests for GCO &  ETD Ops.  In doing so, the candidate will need to be able to understand and articulate complex global business processes to help ensure responses to external queries are a complete and accurate representation of GCO & ETD Ops.  The candidate will need to be a highly effective partner with the LOB to ensure that external queries are addressed within often tight deadlines.   They will be able to confidently discuss and debate with senior leaders on topics such as scope and approach for responses both within the GCO & ETD Ops team and the wider enterprise including Global Regulatory Relations.       

Oversee the engagement and management of regulatory exams and external ad hoc queries from regulators, CCPs and other external parties. This includes managing tight deadlines and coordination with the LOB and sometimes other stakeholders outside of GCO & ETD Ops such as, Global Regulatory Relations, Regulatory Intake Group and GBAM Ops Regulatory Center of Excellence.

  • Ensure all requests have been reviewed with and approved by GCO & ETD Ops Senior Leadership Team.

  • Ensure QA review by Enterprise Data Management for any external queries involving data.

  • Maintain the inventory of previously used regulatory responses as reference to ensure consistency for responses.

  • A risk mindset and an understanding of thematic regulatory interest.

  • Individual contributor with a strong control mindset with the ability to support and challenge the status quo with the GCO & ETD Ops LOB independently.

Required Experiences/Skills:

  • Must have 5+ yrs of Financial Services experience, preferably with Global Markets Operations Experience (experience in collateral operations or exchange traded derivatives operations is highly desired).

  • Excellent organization skills with ability to multi-task and reprioritize with ease.

  • Demonstrated history in working with deadline driven environment.

  • Impactful communication skills (written and verbal) to engage with all levels of management and stakeholders.

  • Solid collaboration skills to partner with peers in the Global ORC team, GCO & ETD Ops LOB team and enterprise partners.

  • PowerPoint/ Excel and executive level reporting skills.

Desired Experiences/Skills:

  • Prior experiences managing and leading regulatory initiatives/requests and facing off with regulators and other external/internal key stakeholders.

  • Prior project management skills

  • Compliance/Regulatory/Audit/Operational Risk experience


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No

Street Address

Primary Location:
540 W Madison St, IL, Chicago, 60661