AVP - Control Audit Global Markets - CA - Investment Bank

- The Credit Suisse Global Markets (GM) business operates globally in all major locations. In an increasingly competitive and complex regulatory environment there is a need for a strong and dedicated controls function to support the GM businesses in furthering our market leading position, and doing so in a risk focussed and controlled manner.

- The GM Controls Mumbai team is a critical part of the GM Controls organisation which operates globally with team members located regionally in London, New York, Singapore, Hong Kong and Mumbai. The team is responsible for ensuring a best in class control environment is in place globally. The team is a specialist team operating within the central GM COO function.

- The team is closely aligned with GM businesses, providing central guidance for all Front Office (FO) Operational Risk and Control Framework activities; including design, implementation, on-going monitoring/reporting and testing/validation of FO Supervision and key Front to Back Controls. This is a rapidly evolving area of our business, a dynamic changing environment; which will be both challenging and demanding.

- The successful candidate will be part of one of GM Controls Mumbai teams and report to the respective team's Team Lead. He / she will engage in the design and implementation of key control initiatives as well as representing GM Controls in key risk and control forums.

- He/she will work closely with the Equity and Fixed Income Control COOs, BRCOs, central GM Controls teams, and partner control functions across Shared Services to ensure there is an effective and robust framework in place. He / she will also drive a common culture, ethos and work practices in the GM Controls Mumbai team.

- In this fast-paced and ever changing environment, in order to be successful, it will be important to operate via the following objectives:

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 and Team Lead in implementing the mission statement & vision for the Mumbai Control team.

Team engagement :

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

- Foster a strong team spirit across the team and work with other teams within the Mumbai Control team

Controls Framework - A flavour of some of our deliverables

- 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 Op Risk 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

You Offer :

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 focussed 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 :

- CA (mandatory) OR similar