Global Banking Americas sits within CIB and provides integrated financing solutions from debt origination, structuring & execution to tailored advisory services for M&A as well as trade, working capital and liquidity solutions to the Banks corporate and institutional Americas clients. The Global Banking Americas Conduct & Control Organization (CCO) directly supports the platform as a transversal and independent team responsible for overseeing the main risks, driving the strategy and managing the non-financial risks of the business, while ensuring integrity and sustainable development in Global Banking Americas. Working in strong cooperation with Business Lines, functions and Bank General Management, the team has a transversal mandate across the Americas region. The GBA CCO team is establishing an electronic communications surveillance team reporting directly to the GBA CCO. This newly created function will be responsible for: - Monitoring electronic communications, with the objective of deterring, detecting, and preventing Conduct Risk breaches- Developing automated tools for monitoring and performing customized data analytics- Escalating potential issues and resolving satisfactorily - Developing systems capabilities and customizing new systems to meet firm expectations
Surveillance of all in-scope electronic communications Maintaining close coordination with the Regulatory Strategy & Oversight teams for awareness of the Supervisory Structure and within the surveillance community to leverage best practices Contributing to the design, implementation and refinement of the monitoring procedures to more effectively identify actual or potential conduct risk scenarios Liaising with, and maintaining good working relationship with Business Line Heads and GBA/FIC ExCos. This will help to to refine the escalation procedures, where possible, in order to aid the Business Line Heads in effectively managing conducts risks Monitoring chatroom communications using Keyword-based searches. Investigate keyword violations for context, and conduct more in-depth analysis where there may be a suspicion of inappropriate communication Escalating potential conduct risk breaches to Business Line Heads, ensuring that there is an accurate and comprehensive audit trail of all relevant information Contributing to the design and production of timely management information for the GBA & FIC ExCos (may include Supervisory Dashboard reporting as well as ICC)
Conduct Excellent communication skills with senior management and transversal functions Adaptability Be a role model, supporting and fostering a culture of good Conduct Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure Market, Product and Business Experience In depth knowledge of the Corporate Banking and Structured Debts business Strong understanding of the driving factors behind the required surveillance enhancements in light of industry and firm-specific eventsTechnical Skills Knowledge of Actimize is an advantage Advanced knowledge of Excel is essential Bloomberg knowledge is essential Generally comfortable and adept at defining and using technology tools Programming skills are a plusPreferred Qualifications: Corporate Banking background is preferred, ideally previous experience within credit analysis /structuring team Risk Management experience also helpful Compliance experience as a complement is also helpful 3-10 year(s) experience (scale for Associates, VPs depending on candidates)
Series 7/79 andSeries 24 preferred but not requiredPrimary Location: US-NJ-Jersey City Primary Location: Job Type: Standard / Permanent Job Type: Job: MISCELLANEOUS Job: Education Level: Bachelor Degree or equivalent (> = 3 years) Education Level: Experience Level: At least 3 years Experience Level: Schedule: Full-time Schedule: Behavioural competency: Decision Making Behavioural competency: Transversal competency: Analytical Ability Transversal competency: The convenient app to read this page at any time, even offline! Share this page with your network Share your content curation with Scoopit Share this page on the first Chinese social network No time? Read and share this page later with Buffer! Are you sure you want to print this page ? Share with your friends Tweet this page Send this page by e-mail Send this page by e-mail Print this page
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