Rates Business Controls Unit

• Liaison for Audit, Compliance and Regulatory reviews including coordination of meetings and delivery of audit finding closure materials and self-identification of issues
• Evaluating business MI, making independent decisions, implementing changes to ensure compliance with regulatory requirements and policies
• Building and maintaining strong partnerships with stakeholders across Trading, Sales & Structuring and Infrastructure and play a key controls advisory role with Trading
• Oversee business control environment and execute non-financial risk (NFR) frameworks across US and Global Rates, including running key Rates governance forums
• Shape, develop and implement Rates governance and controls including identifying and understanding control gaps and developing and executing remediation plans

• Investment Banking experience, preferably within Front Office and with exposure Compliance, Non-Financial Risk, and Audit functions
• prior experience to enable effective liaison with Trading and supporting functions to plan and co-ordinate across multiple stakeholders
• Solid experience engaging with third parties on audits, self-identification of key risks and issues, formulating action plans, ability to remediate audit findings independently
• Specific knowledge of non-financial risks associated with fixed income are preferred
• Sound understanding of the investment banking environment and industry initiatives, particularly around regulation
• Deep understanding of risks and controls over front to back trading processes, day 1 P&L, book ownership, book access and trade life cycle of fixed income products
• Understanding of market conduct controls including UPTA controls, trade & communication surveillance output etc

Strong analytical and communication skills to review and synthesize technical content to senior level management

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
• Educational resources, matching gift, and volunteer programs
• Health and wellness benefits
• Parental benefits
• Work flexibility
• Office life and perks
• Vacation and time off
• Financial and retirement benefits
• Professional development
• Diversity and inclusion program