Senior Manager

• Band: 6
• Sub Band: 6A (Senior Manager)
• Role: Individual Contributor (IC)
  

Responsibilities

• Manage global projects aligned in scope to Global Business Services IBS team and ability to handle multiple projects (Global/Local) in a dynamic environment.
• Management, execution and reporting of the Quality Assurance analysis and results.
• Participate in periodic review and update of test scripts.
• Bi-monthly interactions with Control Room/Line of Business Compliance and EAC supervisory management with regards to escalations, change in the regulatory environment
• Create and maintain escalations inventory and understanding of the GFCC/AML Filing process.
• Identify, aggregate, report and escalate compliance risks, issues, and surveillance enhancements.
• Participate in the parameter recertification process for the IBS surveillances.
• Enables smooth migrations of work to GBS from onshore and maintaining/creating LOB confidence for the GBS team.
• Create and present LOB/GBS Executive presentations, including routine and monthly business reviews.
• Experience communicating with a broad cross-section of executives and business partners with strong organizational, presentation and influencing skills.
• Ability to train and set up a strong, fungible /Cross trained pool of resources within the GBS IBS team.
• Perform peer Quality check and report issues concerning surveillance closures.
• Perform trade surveillance on restricted and watch listed securities.
• Obtain deal updates (from Investment Bankers) – when needed for watch list reviews.
• Conduct trade surveillance to monitor market abuse across asset classes (equity, fixed income, and derivatives trading).
• Monitor trading activity using various exceptions-based reports.
• Managing day to day process requirements.
• Investigate potential compliance issues with management and document findings.
• Work with the global compliance teams to document findings.
• Analyze and organize data, identifying any trends in a timely manner.
• Maintain accurate, organized, and current compliance records and documentation in a manner consistent with the department’s needs.
  

Requirements

Education

• Post-graduate in any field
  

Experience Range

• 5+ years of experience in Information Barrier Surveillance
• 10 years of experience in Trade Surveillance