About The Position
Represent the Platform in senior-level discussions with clients, external regulators and senior internal stakeholders from Risk, Audit and Compliance, Compliance testing. Assess and Address non-financial risk drivers related to Conduct and Supervision and implement solutions. Oversee 1st Line Surveillance and Best Execution for the Platform and apply deep product knowledge, understanding of trading techniques, venues, data flows. Lead System Development and Change Management – ability to build control systems, structures that support the business managers as required, including overseeing implementation of change management projects when required, and in some cases working with Enterprise Change teams. Ensuring documentation and systems infrastructure remain appropriate. Conduct deep dives and identify control enhancements – Proactively identify areas needing additional control frameworks or process improvements. Facilitate supervisory meetings, training and Platform wide Supervisory and Conduct related communications. Directly manages more senior managers and ensures their focus on functional objectives. May have matrixed management responsibility and oversee geographically dispersed teams, adding to the complexity of duties. Responsible for the achievement of goals and objectives. Provides guidance to senior risk managers. Completion of tasks affects achievement of organizational objectives. Modified based upon local regulations/requirements.
Requirements
- Bachelor's degree or equivalent combination of education and work experience required
- 15+ years of total work experience
- 5-7 years of management experience preferred
- Experience in Financial Services is preferred
Nice To Haves
- Advanced degree preferred
Responsibilities
- Represent the Platform in senior-level discussions with clients, external regulators and senior internal stakeholders from Risk, Audit and Compliance, Compliance testing
- Assess and Address non-financial risk drivers related to Conduct and Supervision and implement solutions
- Oversee 1st Line Surveillance and Best Execution for the Platform
- Apply deep product knowledge, understanding of trading techniques, venues, data flows
- Lead System Development and Change Management
- Build control systems, structures that support the business managers as required
- Oversee implementation of change management projects
- Ensure documentation and systems infrastructure remain appropriate
- Conduct deep dives and identify control enhancements
- Proactively identify areas needing additional control frameworks or process improvements
- Facilitate supervisory meetings, training and Platform wide Supervisory and Conduct related communications
- Directly manage more senior managers and ensure their focus on functional objectives
- May have matrixed management responsibility and oversee geographically dispersed teams
- Responsible for the achievement of goals and objectives
- Provide guidance to senior risk managers
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What This Job Offers
Job Type
Full-time
Career Level
Senior
