Supervision & Control Role - Investment Banking

Supervision & Control - Investment Banking

- The successful candidate will be part of one of the IB Controls & Regulatory COO Mumbai teams.

- He/ she will engage in the design implementation & execution of key control initiatives in Supervisory Controls area.

- He/she will work closely with the Business Risk Officers and partner Control Function COOs across Corporate Functions to ensure there is an effective and robust controls framework in place for the IB Front Office.

Key Objectives :

Support the governance, initiatives, engagements & execution of the Risk & Controls landscape affecting the IB Business, including but not limited to :

- Drive initiatives around Front Office (FO) Supervisory Controls through an effective monitoring & reporting framework

- Work closely with team in Monitoring & Reporting of key FO themes across Investment Bank & other divisions

- Strive toward building a robust controls framework and efficient front office reporting

- Assess & enhance the FO controls to ensure they are in line with the policy and regulatory requirements

- Strategically partner with controls colleagues on Change Projects & Regulatory Engagements

- Seek to support ad-hoc requests from business, internal & external auditors

- Understanding, analyzing & implementing a diverse set of First Line Controls and Audit/Regulator remediation actions for the IB Business

- Ensuring articulate communication of resultant requirements to the IB Business through well-thought deep-dives & read-across

- Develop trustworthy and reliable Subject Matter Expertise for senior stakeholders (within IB & Corporate Functions, LODs and multiple LEs), by maintaining an ongoing dialogue with them & seeking their engagement and views towards better Risk & Controls landscape

- One of the key points of contact for the IB Business to assist them in the implementation & tracking of key Control projects ensuring delays are prevented or appropriately highlighted

- Support the IB Controls engagement on Audit/Regulatory reviews & examinations with adequate data, analysis, issue finalization and facilitate determination of valid & practical remediation's with appropriate business buy-in

- Develop strong business & stakeholder relationships through a strong and focused understanding of the challenges faced by them in overcoming the continuously evolving Regulatory & Business landscape