Job Description:
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Job Description:
Supporting our Global Markets (GM) teams in Asia, this position will be based in Mumbai and will sit within the Business Controls (BCO) Function - which is part of the GM COO organization and is the key control partner for the line of business heads and the front office. Our sales and trading professionals within GM are at the centre of the world's financial markets, providing liquidity, industry-leading insights and analytics, competitive pricing and added value across the spectrum of debt and equity markets. The BCO Function is an in-business group providing a range of supervisory, advisory and control implementation for the businesses, including analysis of key metrics, supervision and various control tasks.
Responsibilities:
The role will be responsible for undertaking and supporting supervision activity in both the Equities and FICC business in Asia Pacific, based in Mumbai. Responsibilities will include:
- Supporting the generation of key Unauthorised (UA) Trading control metrics; which include trending analysis and creation of governance decks
- Working across the region with the Business Control and COO teams in each country where there is nexus to UA trading activity to ensure that the control framework is common and effective in each location
- Supporting the businesses in mitigating UA trading risk; applying key control and testing
- Understanding and implementing the front office supervision and control arrangements using the firm's tools
- Reviewing daily activity reports and other control tools (in particular in the UA trading space) to identify any areas of concern for follow up and escalation
- Performing and documenting any relevant follow up assessments in consultation with the supervisors
- Ensuring the supervisors are constantly aware of any issues - and are aware of their ongoing responsibilities to supervise
- Working with Enterprise Control Functions (Operations, Legal and Compliance, Finance, Risk, IT, HR, Audit) to ensure end-to-end processes for all client and trade activity are controlled and monitored
- Working with Enterprise Control functions to improve the quality of the supervisory reports and UA trading detection
Requirements:
- Industry experience in either Equities or FICC markets, understanding of back-office and middle-office processes would be advantageous
- Proven problem-solving and analytics skills.
- Strong academic background or equivalent. Working knowledge of market products - equities, fixed income, futures & options expected.
- Strong presentation skills with advanced knowledge of Excel, Word, and PowerPoint. Experience or knowledge of developing macros / excel solutions preferred. Metrics generation, KRI presentation and trending analysis will be an added advantage.
- Exceptional communication/relationship skills.
- Control Mindset: Commitment to ensuring that the business does the right thing. Identifying control deficiencies plus developing timely and sustainable solutions
- Creative Thinking: the ability to generate new ideas and possibilities, and to see business opportunities - and risks - with a constructive perspective.
- Consulting Skills: an ability to provide added value, including innovative approaches and new or improved solutions.
- Flexibility: the capacity to adapt approach in light of shifting priorities or changing conditions
- Personal Effectiveness: strong communication, decisiveness, energy, drive, courage and character. A thinker - and a doer