Equities Prime Financial Services Controls Associate

In this role you will develop a deep understanding of Front Office processes and the related risks and controls. This includes the interactions with the related support functions processes and ensuring the right governance exists to understand issues and problem areas with escalation of material themes to the relevant business and operational risk stakeholders.

As a Business Control Manager within APAC Prime Financial Services Front Office you will be responsible from an APAC perspective within a global team for delivering and building out an enhanced control framework which supports a continuous and integrated approach to risk assessment. Additionally you will ensure be responsible for top-down risk analysis real time control issue detection escalation root cause analysis and remediation. You will be directly accountable for liaising with Supervisors within Prime Financial Services across APAC and you will be expected to represent the Business which will include collaborating with various functions across 1LOD/2LOD/3LOD namely Technology Compliance Conduct and Operational Risk (CCOR) Qualitative Research (QR) Market Risk Operational Risk Credit Risk Operations Audit and Legal.

Job Responsibilities:

• Serve as a trusted operational risk and control advisor to the Front Office including preparing it for examinations and audits
• Liaise with other functions representing the Front Office interests vis-a-vis control/regulatory initiatives
• Timely review of operational risk incidents with key stakeholders to agree on root causes and delivery of appropriate control deep dives and remedial actions
• Own and ensure delivery of strategic control initiatives working alongside other control teams on broader Equities or Markets wide programmes
• Provide oversight review and execution of ad hoc / analytical requests /control deep dives / business projects / business resiliency
• Deliver and Review action plans from CORE ensuring material risks are properly mitigated and validate execution and closure
• Facilitate the execution of various Supervisory controls attestations and exception management
• Lead development review and implementation of Policies and Procedures on Front Office Supervision
• Steer Local and Global agendas working with regional Business Control partners

Required qualifications capabilities and skills

• Bachelors Degree
• A minimum of 6 years of experience in either Operational Risk / Controls Business Management Middle Office Risk Finance Audit or a Compliance function
• An understanding of the end to end product life cycle for Futures and Derivatives Clearing and Prime Brokerage activity
• Strong personality able to work with senior business management and compliance guiding and challenging as appropriate
• Good organizational skills - manages & prioritizes multiple tasks across different time horizons within deadlines
• A good and commercial understanding of controls and how to apply them to different processes and businesses
• Investigative mindset able to see issues at both a high-level and in detail and understand applicability across the business
• Strong analytical problem solving & process re-engineering skills
• Good judgment maturity and poise to enable interaction / influencing of senior management