Principal Operations Risk Manager - Exempt - TTI of USA, Inc.
New York, NY 10036
About the Job
Director - Enterprise Risk Management
Market Services North American Markets
This bank is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Bank enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 100 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions.
The Team
Group Risk Management (GRM) collaborates with businesses as a trusted advisor, facilitating well-informed decisions that support Bank's strategic objectives. GRM manages and continues to enhance the Enterprise Risk Management, Internal Control, Business Continuity, Crisis Management, and Corporate Insurance frameworks and programs. These programs facilitate the identification, assessment, monitoring, and treatment and reporting of all types of risks, the bank faces.
The Position
The Enterprise Risk Management (ERM) team of GRM is seeking a Director - ERM supporting the North American Market (NAM) business. The position will report to the AVP North American Markets ERM Officer. The Director will be responsible for supporting the ongoing implementation and execution of the ERM Framework for NAM; assisting in the development and implementation of ERM tools, practices, and policies to analyze and report NAM related risks.
As the Director ERM NAM your responsibilities will include:
" Lead Risk Assessments including Risk and Control Self Assessments (RCSA), Top Risk Assessments, Project Risk Assessments, and New Product Assessments, as appropriate, ensuring effective challenge of risk assessments and management of key risks. Ensure consistency of approach.
" Effectively oversee the incident reporting program for NAM.
" Develop and support business unit management reporting.
" Support risk initiatives across NAM including Risk Assessments, Issues & Actions program, Key Risk Indicators, and management reporting.
" Serve as a risk management subject matter expert for the business.
" Build key relationships with NAM business and technology management and serve as a trusted partner to the NAM management team, contributing to the business unit s strategic growth initiatives in the context of our risk frameworks.
" Provide objective assurance and advisory to management including identification of significant risks and risk response strategies and actions. Analyze risks and financial implications and work with management to ensure that the level of risk remains within an acceptable level.
" Support NAM s compliance with the Bank's Business Continuity and Crisis Management Policy including the assisting in the development of Business Continuity Plans and the facilitation Crisis Management exercises and tabletops.
" Monitor industry trends and changes in the regulatory environment.
" Build key relationships with business unit and support function management and serve as an escalation point for risk issues and support for strategy formulation.
" Execute risk management training and promote a pro-active risk culture. Provide expertise and guidance on risk management concepts.
" Effectively communicate with the broader global risk team and partner with peers to ensure consistency of approach and awareness of issues, challenges, and opportunities; achieving shared goals and objectives and providing value-add to the organization.
" Pro-actively engage Internal Audit, SOX, Compliance, Information Security, Supplier Risk Management, Business Continuity, and other assurance functions to support an integrated approach to risk management. Share knowledge and expertise to achieve shared goals.
Skills, Requirements, and Competencies
" 10+ years of experience in risk management, compliance and/or audit in the financial services industry in capital markets.
" Experience in Front or middle-office capital markets trading experience, a plus.
" Understanding of regional regulations and compliance programs.
" Experience in implementing and supporting an integrated risk management framework in a complex organization.
" Excellent interpersonal and oral and written communication skills.
" Strong communication, facilitation and influencing skills; able to articulate and communicate complex ideas and concepts in a clear, concise, and structured manner while anticipating questions/objectives.
" Knowledge and experience portraying analytical information in visual ways; synthesizing and analyzing large amounts of data and information to identify risks, patterns, and trends and consider interdependencies and impact of actions.
" Inquisitive nature, resourcefulness, and ability to seek out information.
" High attention to detail and accuracy.
" Strong organizational skills; able to successfully multi-task and prioritize work.
" Ability to cultivate relationships and collaborate with multiple stakeholders, including business leaders, legal, internal audit, and technology.
" Generates energy and commitment. Ability to drive results, effect/inspire change, and have a positive impact on the organization.
" Ability to act proactively and work effectively across business units, functions, and regional locations.
" Innovative, strategic thinker who can challenge the status quo through openness and without judgement.
" Ability to facilitate working groups to solve issues, mitigate issues and develop solutions; evaluate operational or technological measures to assess risk and effectiveness of programs, processes and/or initiatives.
" Action and results-oriented; ability to drive results, effect change, and have a positive impact on the organization.
" Ability to deliver as an individual contributor and work within a global team environment.
" Experience in leading multi-disciplinary projects with complexity, driving timely and effective project execution and meeting project objectives.
" Resourceful in analysis and identifying solutions to support decision-making.
" Strong organizational skills; able to successfully multi-task and prioritize work.
" Advanced Microsoft Office skills
Market Services North American Markets
This bank is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Bank enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 100 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions.
The Team
Group Risk Management (GRM) collaborates with businesses as a trusted advisor, facilitating well-informed decisions that support Bank's strategic objectives. GRM manages and continues to enhance the Enterprise Risk Management, Internal Control, Business Continuity, Crisis Management, and Corporate Insurance frameworks and programs. These programs facilitate the identification, assessment, monitoring, and treatment and reporting of all types of risks, the bank faces.
The Position
The Enterprise Risk Management (ERM) team of GRM is seeking a Director - ERM supporting the North American Market (NAM) business. The position will report to the AVP North American Markets ERM Officer. The Director will be responsible for supporting the ongoing implementation and execution of the ERM Framework for NAM; assisting in the development and implementation of ERM tools, practices, and policies to analyze and report NAM related risks.
As the Director ERM NAM your responsibilities will include:
" Lead Risk Assessments including Risk and Control Self Assessments (RCSA), Top Risk Assessments, Project Risk Assessments, and New Product Assessments, as appropriate, ensuring effective challenge of risk assessments and management of key risks. Ensure consistency of approach.
" Effectively oversee the incident reporting program for NAM.
" Develop and support business unit management reporting.
" Support risk initiatives across NAM including Risk Assessments, Issues & Actions program, Key Risk Indicators, and management reporting.
" Serve as a risk management subject matter expert for the business.
" Build key relationships with NAM business and technology management and serve as a trusted partner to the NAM management team, contributing to the business unit s strategic growth initiatives in the context of our risk frameworks.
" Provide objective assurance and advisory to management including identification of significant risks and risk response strategies and actions. Analyze risks and financial implications and work with management to ensure that the level of risk remains within an acceptable level.
" Support NAM s compliance with the Bank's Business Continuity and Crisis Management Policy including the assisting in the development of Business Continuity Plans and the facilitation Crisis Management exercises and tabletops.
" Monitor industry trends and changes in the regulatory environment.
" Build key relationships with business unit and support function management and serve as an escalation point for risk issues and support for strategy formulation.
" Execute risk management training and promote a pro-active risk culture. Provide expertise and guidance on risk management concepts.
" Effectively communicate with the broader global risk team and partner with peers to ensure consistency of approach and awareness of issues, challenges, and opportunities; achieving shared goals and objectives and providing value-add to the organization.
" Pro-actively engage Internal Audit, SOX, Compliance, Information Security, Supplier Risk Management, Business Continuity, and other assurance functions to support an integrated approach to risk management. Share knowledge and expertise to achieve shared goals.
Skills, Requirements, and Competencies
" 10+ years of experience in risk management, compliance and/or audit in the financial services industry in capital markets.
" Experience in Front or middle-office capital markets trading experience, a plus.
" Understanding of regional regulations and compliance programs.
" Experience in implementing and supporting an integrated risk management framework in a complex organization.
" Excellent interpersonal and oral and written communication skills.
" Strong communication, facilitation and influencing skills; able to articulate and communicate complex ideas and concepts in a clear, concise, and structured manner while anticipating questions/objectives.
" Knowledge and experience portraying analytical information in visual ways; synthesizing and analyzing large amounts of data and information to identify risks, patterns, and trends and consider interdependencies and impact of actions.
" Inquisitive nature, resourcefulness, and ability to seek out information.
" High attention to detail and accuracy.
" Strong organizational skills; able to successfully multi-task and prioritize work.
" Ability to cultivate relationships and collaborate with multiple stakeholders, including business leaders, legal, internal audit, and technology.
" Generates energy and commitment. Ability to drive results, effect/inspire change, and have a positive impact on the organization.
" Ability to act proactively and work effectively across business units, functions, and regional locations.
" Innovative, strategic thinker who can challenge the status quo through openness and without judgement.
" Ability to facilitate working groups to solve issues, mitigate issues and develop solutions; evaluate operational or technological measures to assess risk and effectiveness of programs, processes and/or initiatives.
" Action and results-oriented; ability to drive results, effect change, and have a positive impact on the organization.
" Ability to deliver as an individual contributor and work within a global team environment.
" Experience in leading multi-disciplinary projects with complexity, driving timely and effective project execution and meeting project objectives.
" Resourceful in analysis and identifying solutions to support decision-making.
" Strong organizational skills; able to successfully multi-task and prioritize work.
" Advanced Microsoft Office skills
Source : TTI of USA, Inc.
