Equities and Securities Services Regulatory Officer (VP)

Equities and Securities Services Regulatory Officer (VP)

Job purpose / Description:

In view of heightened expectations from regulators and to ensure a strong and consistent global control environment, Equities and Securities Services (SS) are enhancing its Governance and Controls Office (GCO). This new role will be part of the Equities and SS GCO team reporting to the Equities and SS GCO Co-Heads.  

The role will focus in enhancing the governance and controls framework for Equities and SS, in line with global enhancement initiatives across Markets and Securities Services (MSS). This role plays a leading contribution to the strategic direction and articulation of the internal control framework of the Equities and SS First line of defense (LOD).

The selected candidate is a strategic professional who stays abreast of developments within own field and contributes to directional process improvement and strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to process improvement of the governance and controls framework of the business.

Key Responsibilities:

• Support management develop program plans to meet regulatory requirements, track progress and monitor key risks applicable to Equities and SS.
• Understand and support key regulatory policy and control initiatives.
• Support management with the preparation of materials to report of controls governance processes projects.
• Initiate and lead short, medium and long term projects to achieve business control objectives.
• Work closely with business partners on findings and makes recommendations on improving practices.
• Develop procedural implementation and change management process with operations and reporting teams to ensure proper governance and controls.
• Manage and improve control metrics and key risk indicators of Equities and SS.
• Examine, develop and maintain detailed control documentation, procedures, key metrics and audit evidence.
• Contribute to monthly/quarterly business control reviews and various control forums and Committee meetings as needed.
• Leverage data to examine impacts to customer experience, control gaps and regulatory breaks.
• Has the ability to operate with a limited level of direct supervision.

Qualifications:

• Undergraduate degree required
• 7+ of relevant work experience in Financial Services
• Exceptional professional track record
• Risk based thinking and analytical mind-set
• Excellent analytic and creative problem solving skills, ability to leverage technology tools
• Demonstrated ability to manage complex environment and processes
• Accuracy and attention to detail
• Strong interpersonal skills, collaborative, and team-oriented approach to problem solving
• Project and process ownership, strong time management
• Results oriented, self-motivated with a drive for excellence and intellectual curiosity
• Strong communication and listening skills
• Consistently demonstrates clear and concise written and verbal communication skills
• Proven ability to work in high pressure environments, excellent organization and planning abilities
• Effective organizational influencing skill

Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.

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