Lead Control Management Officer - Unauthorized Trading, Trade Surveillance

• Lead design, implementation, and enhancement of surveillance controls to detect and prevent unauthorized trading across asset classes
• Analyze trade lifecycle events and booking models to identify gaps or anomalies indicating unauthorized activity
• Collaborate with front office, compliance, risk, and technology teams to ensure comprehensive surveillance coverage
• Develop and maintain metrics and reporting frameworks to monitor control effectiveness and escalate issues
• Investigate unauthorized trading alerts and ensure timely resolution and documentation
• Assist in defining requirements and analyzing data to build evidence-based control activities
• Perform data analysis across centralized and decentralized sources to enable automation
• Develop prototypes and refine controls with support functions
• Execute control activities in business as usual and escalate identified exceptions
• Support end-to-end control design, data analysis, testing, and implementation for Unauthorized Trading
• Enable ongoing monitoring and develop sustainable mechanisms against mandates
• Engage with business heads, control teams, and leadership to socialize and calibrate controls
• Partner with Compliance to execute policies, procedures, and governance routines
• Generate ad-hoc reports and materials for senior leadership on control outcomes, KRIs, and KPIs
• Stay informed on industry trends, regulatory developments, and emerging trading conduct risks

• 5+ years of Risk Management or Control Management experience
• 3+ years of experience in Capital Markets business environment including products and services, data flows, trade lifecycle(s) and relevant risks
• 3+ years of experience identifying, assessing, evaluating, documenting, and reporting effective controls, control procedures and control gaps
• Advanced data analytics tooling experience (e.g., SQL, Python, R and/or similar)
• Experience partnering with technology and product owners throughout technology development lifecycle
• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Ability to identify, assess and confidently raise risks and issues
• Ability to take on a high level of responsibility, initiative, and accountability with minimal supervision
• Experience communicating with senior executive-level leaders
• Ability to influence, partner, and negotiate solutions with senior business leaders

Advanced data analytics tooling experience (e.g., SQL, Python, R and/or similar)

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement