EXPERIENCE REQUIRED:

• Demonstrated industry experience within Global Markets and/or Support Functions;
• In-depth Equities product knowledge;
• Bachelor’s degree or equivalent work experience;
• Understanding of Market Misconduct behaviors across Trading and Sales business;
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
• Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
• Attention to detail and high standard for quality work product;
• Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed;
• Inquisitive mindset and the ability to think creatively to solve problems and anticipate potential questions or issues;
• Effective time management and prioritization, strong multi-tasking abilities; and
• Excellent judgment in handling sensitive and confidential information;

ROLE DESCRIPTION:

BCO has an open role for a Business Controls Officer to work within a global team of Business Controls specialists, focused on Equities.
This position will require product knowledge to provide expertise to key aspects of the bank’s control framework in the FLU or 1st Line, including documenting operational incidents, identifying and resolving control gaps through raising and managing self-identified audit issues, providing support to Equities supervisors, working with BCO Trade Surveillance to resolve alerts and documenting the lineage between sales/traders and their supervisors among other things.

RESPONSIBILITIES:

The successful candidate will report to the Head of UK & CEEMEA Equities Business Controls Office. They will undertake the day-to-day development and/or enhancement of the controls framework focused on Equities. They will have a knowledge of trading, together with an understanding of controls and other Trading and Sales applicable regulations related to this asset class.
This individual will work closely with the LOB supervisors and senior management/COOs and other support functions (e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources). Their goal will be to ensure that the controls and supervisory framework is complete, keep up to date with changes within the organization and are compliant with applicable laws, rules and regulations, implementing industry best practices.

Candidates must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:

• Work within a global team within the GM BCO function charged with providing expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
• Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organisation;
• Support the bank’s Trade Surveillance Framework in the FLU or 1st Line responsibilities, including design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and investigations;
• Identify and resolve any gaps in the control framework;
• Provide BCO input into Enterprise and Global Markets policies and procedures;
• Represent Global Markets BCO at various committees, forums and meetings as required; and
• Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval