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Line of Business: FICC Core Operations and Derivatives Risk and Control
Responsibilities will include the following:
Manage and review Risk issues:
· Manage and review self-identified audit issues (SIAIs) including assisting the LOB with articulating the risk, evaluating the action plans, and reviewing the evidence to agree closure
· Identify new risks in Operations processing for which there are currently no mitigating controls in place
· Identify control processes that are failing, inadequate or inconsistently applied, resulting in an in ability to fully mitigate the risks for which they were originally intended
Manage and review Operational events:
· Manage and review operational events/errors including assisting the LOB with articulating the risk, evaluating the action plans, and reviewing themes and root cause analysis
Post implementation reviews:
· Perform an analysis of a recently implemented process or mitigating control to ensure it has been fully and consistently implemented across the LOB.
Challenge the Risk Management Risk Management Framework:
· Challenge and test aspects of the Risk Control framework that is in place across the LOB to ensure that they are being correctly implemented and are effective tools for tracking, measuring and reducing risk in Operations
· Be the point of reference and act as a trusted advisor to the LOB in the identification of issues and in the formation of preventative mitigation plans.
· Promotion of risk awareness and high quality risk routines with the LOB to drive up quality and consistency
· Identify focus areas within the LOB for targeted risk mitigation investigations
· Represent the OR&C in risk control related global initiatives and policy implementations
· Assist the LOB in audit preparation and audit management
The successful candidate will possess the following skills and qualifications:
· Good understanding of front to back FICC Core Operations and Derivatives processes including good understanding of the end to end trade lifecycle and the associated processes within the support functions
· Has a proven ability to apply strategic thinking to multiple, complex organizational and business issues, and has ability to translate into practical plans for project execution
· Ability to lead and drive change
· Proven collaboration and relationship management skills
· High sense of urgency with ability to drive results
· Demonstrable evidence of stakeholder management
· Effective multi-tasking and prioritisation skills
· Self-starter, able to establish relationships and transcend multiple cross-functional/divisional boundaries, largely unaided
· Ability to handle diverse workload and tight schedules
· Proven risk assessment, negotiation and problem resolution skills
· Ability to work across business groups and in a team environment
· Ability to interface across various levels within Middle Office, Technology, Operations, Finance and FO