Executive Director - Compliance - BFSI

Primary Responsibilities :

- Managing and growing the IED Non Market Risk offshore team by integrating new processes and enhancing existing ones;

- Building a strong team by creating a culture of ownership, communication, efficiency, decision making, execution, etc.;

- Shaping the strategic framework of the team to support 250+ activities across multiple regions, many of which overlap, but some of which are region specific;

- Defining and augmenting the documentation and operating processes for reviewing trading exception models and other risk controls;

- Managing the overall migration of activities from HUB locations to the local team, for example prioritizing the offshore activities queue, defining local and HUB supervisory processes, etc.;

- Developing management reporting around the team's activities to create transparency and more comprehensive monitoring;

- Interacting with senior Risk Management with regard to supervisory issues and exceptions;

- Interacting with senior members from associated control functions, such as Legal, Compliance and Technology Risk;

- Solving problems by effectively influencing and utilizing resources across teams outside of the Risk Management function;

- Supervising the offshore review of sales and trading exception models on a daily basis and maintaining records relating to these reviews, some examples Reg. SHO, Wash Sales and Employee Trading;

- Supervising offshore activities around risk and regulatory controls;

- Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;

- Leading projects related to the supervisory platform and the information security program;

- Mentoring and providing guidance to RCG management and junior members on the desk with projects and problem solving; and

- Establishing relationships and work closely with IED Risk Management, Technology, Operations, Finance, and Compliance.

Skills required (essential) :

- 15+ years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues;

- Effective management and leadership skills;

- Excellent knowledge about equity and fixed income markets;

- Strong motivation, be a self-starter with a positive outlook and desire to solve problems;

- Strong analytical skills with an ability to understand complex workflows;

- Strong communication skills with an ability to speak to senior management;

- Ability to identify and escalate issues effectively and appropriately;

- Exceptional organizational skills and a high degree of attention to detail;

- Solid understanding of applicable regulatory rules and regulations ;

- Strong project management skills;

- Excellent oral and written communication skills by clearly articulating objectives, requirements, risks and issues;

- An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues;

- Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment;

- Proven ability to take ideas forward and to challenge others with integrity and maturity; and

- Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project).