Job Description

You are an advisor, highly motivated, energetic self-starter who takes ownership of processes, interested in working in a fast-paced and dynamic environment, participating in key initiatives and becoming involved in a diverse set of issues that will have a direct impact on the organization. You have found the right team.


As a Control Manager Associate in the Equities Business, you will help the business manage its regulatory obligations, conduct and operational risk and supervisory requirements. Specifically, you will manage various aspects of the end to end control environment spanning business execution, credit risk, market risk, model risk valuation controls, operations and finance. The mandate is a key role for the business in the increasingly complex and demanding global regulatory environment. You will be a trusted advisor on regulatory, operational risk and control matters.

Job Responsibilities:

Serve as trusted control advisor to the Front Office including prepping it for examinations and audits Represent Front Office interests vis a vis control/regulatory initiatives in conjunction with legal, compliance and other functions Execute and implement business controls, risk governance, and reporting priorities and strategy. Identify, document and remediate control gaps, risk assessment and root cause issue analysis. Be responsible for policy development, review and implementation. Improve the "user experience" for all stakeholders and partners, i.e., focus in enhancing transparency, efficiency and simplicity of control processes Be responsible for Front Office supervision management and execution, Front Office supervision and oversight including exception management, and Front Office supervisory tool development Handle operating procedure documentation and implementation during pre-trade, and in certain cases, post-trade surveillance

Required qualifications, capabilities, and skills:

Bachelors degree Understanding of Equities products and markets. Understanding of the end to end product life cycle for Equities Excellent organizational skills - manages and prioritizes multiple tasks across different time horizons within deadlines Strong understanding of controls and their application to different processes and businesses Strong analytical, problem solving and process re-engineering skills Excellent Excel, Word, PowerPoint skills. Excellent verbal and written communication skills * Strong team player with excellent partnering and influencing skills