Vice President, Global Analytic Solutions
IQVIA
Vice President, Markets – Fixed Income Surveillance and Controls
BNY
full-time
Posted on:
Location: New York • 🇺🇸 United States
Visit company websiteSalary
💰 $68,000 - $147,000 per year
Job Level
Lead
About the role
- Assist with the management of Compliance and Regulatory risks
- Respond to and prepare responses to regulatory requests
- Work with internal audit, compliance testing and other internal stakeholders
- Promote a strong regulatory mindset across the Markets business
- Provide guidance and interpretation of regulatory requirements
- Provide oversight and supervision of non-financial risks to counter conduct and operational risks
- Ensure control framework meets regulatory and senior management expectations
- Build control structures to support business managers and oversee change management projects
- Perform deep dives to identify areas needing additional controls and enhanced processes
- Assist in unification of MI and systems to drive best practice across the Controls Team
- Create documentation to support governance structures and supervision expectations
- Ensure documentation and systems infrastructure remain appropriate
- Chair supervisory meetings and assist with annual testing programs
- Assist with development and delivery of annual training programs as required
Requirements
- Relevant experience in a similar Risk and Control, Compliance, Audit or Regulatory role
- Experience gained from a Regulatory organization would be beneficial
- Thorough knowledge of financial markets, particularly fixed income and equity products
- Strong working knowledge of applicable regulatory principles and rules (market abuse, best execution, information barriers) advantageous
- Experience operating surveillance systems and investigating potentially abusive behavior
- Investigative skills and an analytical mindset
- Oral and written communication skills in English and ability to understand compliance policies and follow procedures
- Bachelor’s degree or master’s degree preferred
