Global Banking & Markets, Regulatory Controls Management, Associate - Dallas

GLOBAL BANKING AND MARKETS

Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a passion for the markets, with individuals who thrive in fast-paced, changing environments and are energized by a bustling trading floor.

RESPONSIBILITIES AND QUALIFICATIONS

Team Overview: The Regulatory Controls Management Team (RCM) centrally manages preventive (pre-trade) and detective (post-trade) controls and processes for different regulatory obligations within the Global Banking & Markets division. The team focuses on the design, implementation, and enhancements of trading controls for Sales & Trading, including alert management and escalation to key stakeholders.

• Design preventive and detective controls for new regulatory implementations and identify and implement enhancements to existing controls.
• Develop subject matter expertise on covered obligations/functions and collaborate with various working groups across multiple stakeholders to ensure all risks are mitigated and managed properly.
• Drive strategic initiatives to streamline existing preventive and detective controls design, workflows, and processes across different regulatory obligations.
• Formulate and develop business control requirements for new regulatory implementations.
• Partner with Desks, Compliance, Legal and Engineering to design and improve business control workflows.
• Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks, and senior leadership.
• Knowledge of Global Banking and Markets businesses and ability to build relationships with sales / trading personnel.

• Bachelor's degree
• 3-5 years of relevant work experience. Prior exposure to regulatory obligations and/or similar functions related to the regulatory landscape are preferable.
• Familiarity with derivative products, sales / trading booking platforms and trade flows.
• Ability to translate and analyze data to perform root cause / trending / impact analyses to drive decision making.
• Experience working with Technology including defining and clarifying business requirements.
• Ability to manage timelines/deadlines, multiple projects and prioritize tasks in a rapidly changing environment.
• Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigants/solutions and escalate appropriately.
• Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders.
• Strong time and project management/organizational skills and attention to detail; ability to handle a fast-paced environment; communicate factually and influentially.