Business Unit Manager Equities E-Trading – VP (Hybrid)

This role will report to the regional Equities E-Trading CAO and closely partner with the Risk and Control team to continue with the execution of the extensive Electronic Trading (E-Trading) Policy and to develop the governance, control & supervision framework across Equities E-Trading. The role will provide an opportunity to work closely with the Business Heads, Desk Supervisors and Business Management teams to deliver and support both business specific and Markets-wide regulatory and control related initiatives. This role also requires extensive coordination across multiple business and support functions at all levels, including Markets Central Risk & Controls teams, Technology, Audit, Compliance, Risk, as well as other Markets Businesses both in the North America region and globally.

Responsibilities:

Equities E-Trading focuses on ensuring that business operation and electronic trading applications comply to all applicable E-Trading policies and standards and act as a central point person in the business for key regulatory remediation.

Responsibilities include:

• Support E-Trading business in execution of the new E-Trading policy and drive plans to ensure the business applications and operations meet the extended requirements
• Drive implementation of business-driven projects across functions, working closely with relevant senior leadership
• Provide input into and recommend technology change, process improvements and control framework enhancements
• Support the regional implementation of global E-trading business and limit review governance led by the Global Risk & Control team
• Own and coordinate Regulator-driven read-across requests / inquiries
• Seek out and ensure corrective actions are implemented for control related issues and remedial action is taken
• Support regional E-trading Risk & Control MI, Governance, reporting and escalations with a focus on E-Trading
• Work with the Business Supervisors, Technology & Control partners to efficiently build target state controls, system alerts, and re-engineer processes to ensure effective and best in class controls ensuring consistency in application between all regions and countries
• Manage Equities E-Trading related risk issues, event management and lessons learned including internal / external loss reviews and coordinate related remediation as necessary
• Collaborate across the Business, Technology, Legal, Compliance, and Business Controls and Supervision instituting E-Trading best practices
• Assist business in maintaining an inventory of E-Trading Controls for monitoring E-Trading Applications, breach thresholds, approval process for changing limits and thresholds, as well as the escalation protocol for breaches
• Support business to ensure adherence and documentation of E-Trading Applications and Strategies pertaining to Change Management (e.g., strategy changes, application changes, control limits), E-Trading related incidents and error reviews

Qualifications & Skills:

• Minimum 6-10 years of experience in financial markets (preferably in E-Trading space)
• Subject matter expertise in products, markets, regulations, trading systems & controls, preferably in Equities
• Experience working across the various channels (High Touch, Low Touch, Program Trading, Central Risk), and prior relevant experience with many organizations (compliance, legal, surveillance, audit, technology, and risk management)
• Solid understanding of the types of risks generated through E-Trading (e.g., market disruption) as well as the control types that should be implemented to mitigate said risk
• Prior regulatory remediation experience such as MRA, MRIA, Consent Order
• Strong comfort level engaging with technology to understand system implementation and be able to work with large sets of data (e.g., Power BI, Tableau, advanced SQL, and various Microsoft tools)
• Self-starter with experience operationalizing governance/control framework with experience in developing KRIs and KPIs
• Strong written and verbal communication, interpersonal and presentation skills with the ability to articulate complex problems simply and concisely at all levels
• Capable of prioritizing and multi-tasking in a fast-paced dynamic environment
• Experience in delivering change-related projects
• Purpose driven, highly motivated, collaborative, team player with strong attention to detail
• Strategic thinker, with dynamic problem-solving capabilities and a focus on innovation
• Ability to influence and shape risk and control agenda
• Proactively drives process improvements and re-engineering opportunities

Education:

• Bachelor’s Degree/University degree or equivalent experience
• Master’s degree preferred

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