Vice President

• Serve as primary control contact for Corporate & Investment Banking (CIB) Electronic Trading (E-Trading) with proven knowledge of products, services, processes, systems, and customers
• Engage with Line of Business (LOB) partners on strategic and operational matters: Discuss strategy, industry trends, organizational changes, and new/modified markets, systems, products, and services to assess impact and remediate risk across all types, including financial risks
• Execute and manage core risk programs: Oversee Risk and Control Self-Assessment (RCSA), Self-Assurance, Issues Management, loss capture, and related enterprise risk programs such as Business Continuity Planning (BCP), Information Security, Sales Practices, and Conduct Risk
• Manage E-Trading governance forums: Ensure appropriate structure and documentation
• Advise on control design and implementation: Collaborate with Control and LOB partners to mitigate risks specific to E-Trading
• Coordinate with control team managers: Ensure E-Trading processes, risks, and controls are accurately identified and reviewed regularly
• Investigate and document Operational Risk Events: Identify E-Trading-related events and coordinate remediation
• Support E-Trading Governance Framework initiatives: Guide LOB partners in assessing operational risk exposure and ensuring consistent policy adherence across Markets
• Drive E-Trading framework enhancements: Establish best practices, optimize policy standards, and improve internal documentation
• Build inventory of business processes and governance channels: Include internal testing, audit, regulatory engagements, and integrate with RCSA where applicable
• Establish routines with risk and audit partners: Provide transparency into business risk profile, trends, and governance initiatives
• Conduct risk assessments: Evaluate adequacy and effectiveness of policies, procedures, systems, technology, and internal controls
• Report findings and influence control improvements: Use corporate risk channels to escalate and advocate for enhanced controls
• Maintain regulatory control profiles: Ensure ongoing updates of applicable regulations, residual risks, and compensating controls in systems of record
• Analyze business and industry changes: Assess impact and identify potential operational risk issues related to E-Trading
• Support Control Assurance efforts: Guide LOB process and control owners in managing control changes and liaise with Governance & Programs team
• Provide risk reporting and updates: Deliver written and verbal updates to LOB risk councils, CIB/Wholesale, and Enterprise risk committees as needed

E-Trading CIB Vice President – Lead Control Officer

Vice President – CIB Portfolio Manager, Industrials