• Execute risk framework requirements such as the RCSA, creation and alignment of metrics, Process Mapping
• Establish governance for open and upcoming items across all risk inventories and programs.
• Collaborate with Line of Business (LOB) partners on control design, implementation and monitoring.
• Ensure the LOB profile of applicable regulations and associated controls is maintained and monitored.
• Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams.
• Establish the inventory of all relevant business processes, governance channels, internal testing, audit, and regulatory engagements is maintained
• Prioritize internal preparation, review routines and the integration with RCSA/process mapping as applicable for business testing, audit and exam engagements
• Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls.
• Participate in business growth initiatives and maintain awareness of platform changes
• Awareness and involvement in regulatory change control, and alignment of related controls.
• Contribute to governance routines and management reporting
- Direct experience with Equity Research and related control frameworks
- Demonstrated understanding of rules and regulations applicable to the Equity Research business
- 10+ years' Experience with operational risk framework, the RCSA and related control programs
- Prior experience in a business control or compliance role with focus on control design and evaluation.
Leadership, integrity, and credibility will be determining factors in selection. Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and with regard to their accomplishments.
- Prior experience with governance frameworks and management reporting of non-financial risk profiles.
- It requires a leader with strong relationship management, influencing, vision and execution skills.
- A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment.
- The role requires a sense of urgency, passion for results, and personal accountability for achievement.
- The successful candidate will work closely with other senior leaders across CIB Control and CIB Banking, and risk and operational partners from elsewhere in the company in the development and execution of company risk management strategies.
- Accordingly, critical success factors will include the ability to develop partnerships with many business and functional areas, provide insight into the economic climate and related market developments and identify trends which may present opportunities or reflect gaps in the Company’s risk management execution/direction.