Analyst, Business Control

Job Description:

The Global Markets Business Controls Office (BCO) is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business Front Line Unit (FLU).

BCO is a global group with teams in many locations including New York, Charlotte, London, Paris, Hong Kong, Singapore and Tokyo providing control oversight to Sales, Trading, Electronic/Algorithmic and Research businesses across Global Markets in respect of regulatory and governance programs.

Position Description/Responsibilities:

BCO has an open role within Business Controls, at Analyst level, to work across the AMRS Fixed Income LOBs supporting the senior lead within the team.

This individual will work closely with the LOB supervisors and senior management/COOs and other support functions (e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources). Their goal will be to ensure successful execution of our controls framework and assisting with trade surveillance, ensuring that the line of business is in compliance with applicable rules, regulations and implementing industry best practices.

Profile/Skills:

Candidate must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:

• Work within the GM BCO function, providing expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
• Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization;
• Support the banks Trade Surveillance Framework in the FLU or 1st Line responsibilities, including design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and investigations;
• Provide BCO input into Enterprise and Global Markets policies and procedures;
• Represent Global Markets BCO at various committees, forums and meetings as required; and
• Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval.

Experience required:

• Able to demonstrate trading/product knowledge around trading correlations, use of derivatives and hedging;
• Bachelor's degree or equivalent work experience required;
• Understanding of Market Misconduct behaviors across Trading and Sales business;
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
• Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
• Attention to detail and high standard for quality work product;
• Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed;
• Inquisitive mindset and the ability to think creatively to solve problems and anticipate potential questions or issues;
• Effective time management and prioritization, strong multi-tasking abilities;
• Excellent judgment in handling sensitive and confidential information

Shift:

Hours Per Week:

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