Front Office Controls - Investment Bank / Global Markets / 70k to 130k
I'm currently helping our client seeking a candidate with 1st line or 1.5 line defense experience to join the team in HK.
Key Responsibilities
- Design and implement pre-trade and trade business controls for new regulatory requirements and supervision tools, while identifying and driving enhancements to existing controls.
- Develop subject matter expertise in business controls to effectively investigate, remediate, and prevent control issues.
- Partner closely with global Sales, Trading, Compliance, Legal, Operations, and Engineering teams to design and optimize business control workflows for regulatory implementations.
- Support strategic projects to streamline pre-trade, trade, and supervisory controls, workflows, and processes across regulatory obligations.
- Contribute to the development of meaningful key metrics to assess the effectiveness of the business control framework.
- Execute the firm's data governance framework, policies, standards, and guidelines.
Basic Qualifications
- Bachelor's degree or equivalent.
- Relevant experience, with direct exposure to regulatory implementation projects or front-office supervision frameworks.
- Solid understanding of risk and controls frameworks in Trading and Sales businesses.
- Strong knowledge of Global Markets, and Sales & Trading functions, with the ability to build effective relationships with front-office personnel.
- Proven ability to collaborate with stakeholders to clarify obligations, translate business logic, and deliver solutions.
- Strong prioritization skills and a drive to succeed in a fast-changing, high-pressure environment with competing demands.
- Skill in identifying complex issues, articulating them clearly to diverse audiences, proposing effective mitigations/solutions, and escalating appropriately.
- Strong analytical and critical thinking abilities, including root cause, trend, and impact analysis to inform decisions.
Please reach out to German Cham at german.cham@connectedgroup.com for more information.
Front Office Controls - Investment Bank / Global Markets / 70k to 130k
