- Determine the applicability of individual regulations to the Markets businesses, and subsequently map these legal obligations and the full underlying legal text to procedures or other supporting documentation, and related CORE Business Processes.
- Map execution activities by working extensively with a diverse set of global stakeholders, including Legal, Compliance, Business Control Management, and others. The team s activities cover 24 jurisdictions (8 languages), with further scope expansion expected.
- Act as a Subject Matter Expert on OLO processes and tools, collaborating with Legal, Compliance, Risk, Finance, Business partners, and others to ensure a clear and consistent interpretation of applicable obligations.
- Develop and maintain reference data to facilitate obligation mapping, such as matrices of business activities, LEs, procedures, and control framework by product and country.
- Compile procedure gap analysis data and make recommendations to senior Business Control Managers, among others, on how these gaps should be addressed.
- Respond to and resolve items identified by Quality Assurance and audit processes.
Required qualifications, capabilities, and skills
- Bachelor s degree or equivalent experience required
- Minimum 5 years of experience in financial services industry with background in business controls, operational risk, Compliance, Legal, Audit or similar function with coverage of Markets Sales / Trading businesses
- Comfortable with and adept at reading and interpreting legal text as a layperson (note formal legal qualifications are not required)
- Good project management skills and ability to instill structure, process, and accountability to meet ambitious weekly production delivery targets, whilst maintaining quality standards.
- Detail oriented, with a highly disciplined approach to process and quality control
- Strong business analysis skills to enable efficient, accurate and objective decision making
- Excellent personnel and organizational management skills, ability to work under pressure and handle high volume of throughput without compromising quality
- Ability to partner closely with related functions to ensure a coordinated and effective program
