AVP/VP - Controls & Audit - Global Market - Investment Bank

JD:

Control Culture

- Set tone and standard to emphasise the importance of controls across the team

- Act in an independent manner to represent the best interests of the Bank when designing and implementing controls, and when evaluating the performance of controls

- Assist the Team Head in implementing the mission statement & vision for the Mumbai Control team.

Team management

- Ensure the team operates as a single, cohesive unit, and in a collegiate manner

- Foster a strong team spirit across the team encouraging them to work with other teams within the Mumbai Control team

- Identify, design and deliver training and support needs to ensure success

Controls Framework - A flavor of some of our deliverable

- Development of industry leading control reports and related management information e.g., Cancel and Corrections, Off Market Reports, loss analysis, trader mandates exceptions

- Prepare of monthly risk and control metrics to assess supervisory and operational risks at a business, regional and global level.

- With a forward-looking view on risk and control issues observed in the industry and internally that may impact the GM - assist in performing related read across and devising related remediation plans

- Assisting with the GM Governance Framework, associated metrics, and reporting tools - with escalation of key risks to senior management

- Developing & maintenance of Control tools used to monitor Trader performance, Desk performance and Business level performance

- Performing tyre-kick/deep dives/thematic reviews into key trading metrics to understand the reasons for outliers and suggest remediation actions by enhancement to existing controls

- Work closely with GM Controls, IB OpRisk and GM Front Office in developing the GM Risk and Controls Framework; including the RCSA process

- Drive a controls testing mandate across Design & Operating Effectiveness

Regulatory environment

- Keep abreast of regulatory developments and has sufficient flexibility to meet changing requirements

We Offer:

- A challenging & dynamic work environment

- Exposure to the functioning of a team of highly skilled professionals and a global working environment

- Experience with one of the world's most reputed financial services organization

- High quality content and responsibilities in the work role

- Mobility opportunities within the team

The qualified candidate must have -

- Strong interpersonal skills and the ability to influence others not in direct span of control

- Strong business experience to allow for senior level business interaction

- Strong presentation skills with an attention to detail

- Experience having worked in a high pressure, delivery focused environment

- Strong analysis skills and is intellectually inquisitive

- A drive to learn and prepared to review detail

- Confidence and ability to be self-starter

- Strong work ethic

Technical skills needed

- Investment banking experience in control/risk functions

- Front to back knowledge of key sales and trading process flows

- Operational Risk / Internal Audit / Regulatory background and/or experience

- Project management experience - track record of delivery on projects, commitments

- Strong Microsoft skills

Education

- MBA and or post graduate qualifications (CPA, Chartered Accountant, CFA)