Senior Manager, Business Transformation & Oversight
Job Summary
Job Description
What is the opportunity?
The Senior Manager, Business Transformation & Oversight position will report to the Director Regulatory Compliance, Business and Change Management within Corporate Treasury Execution Team and provide trading compliance oversight and the implementation of strategies aligned to our business operating philosophy while driving effectiveness and efficiency. This role would also place a key focus on business change management as we navigate ever evolving macro environment and the resulting higher risk and compliance demands. Additionally, this incumbent would be required to demonstrate exceptional people management skills assisting staff with their ongoing learning and development.
What you will do?
- Lead Change Management initiatives for CT Execution
- Work with CM onboarding desks to ensure CT external counterparties are properly represented in Fenergo.
- Design a framework for Volker roll ups and transit hierarchy to support ongoing monitoring and support attestations.
- Conduct periodic reviews leveraging CM application access control group for all accesses for team owned books/systems/users and ensure compliance.
- Proactively identify compliance risks/ control deficiencies in the business and escalate as per RBC escalation protocols.
- Work closely with CM compliance and surveillance for timely updates. Monitor trade execution to ensure compliance.
- Monitoring of existing exposures versus limits in LAMP and set appropriate thresholds as we are nearing these limits, also SNL versus allocation for CCR.
- Support for Global compliance attestations, Finance attestations (SOX) and broader compliance for the execution desk for e.g., Entertainment Policy Compliance and Trading compliance and NFA certifications
- People management for trading desk compliance and change management
What you need to succeed?
Must Have
- Degree in business management or finance with 5+ years experience
- Compliance or Risk Management certification or relevant experience
- Strong level of proficiency in Microsoft Office Suite, particularly VBA tools
- Understanding of Risk Management (i.e., market risk, credit risk, liquidity risk, operational risk)
- Ability to identify, manage and implement lasting change.
- Understand Compliance management and reporting. KYC for Broker/Dealers
- Experience managing people and teams
Nice to Have
- Experience in identifying and assessing key business processes
- Experience in Corporate Treasury execution desks
Job Skills
Audits Compliance, Business, Change Management, Compliance Oversight, Corporate Treasury, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, People Management, Product Services, Regulatory Compliance, Risk Compliance, Risk Management, Strategic ThinkingAdditional Job Details
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