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Operational Risk and Permanent Control Officer: VP

Type de contrat

Convencional

Localisation

BR-São Paulo

Country

BR

Métier / fonction

RISKS

Postuler REF: 0081


Overview:

 

Within the Corporate and Institutional Banking, the Operational Risk and Permanent Control team is comprised of two main functions: Global Markets Business Supervision & Control and New Business Initiatives Validation. The Business Supervision & Control team is responsible to assess and monitor the effectiveness of business controls, own the delivery of the GMA risk assessment process on all non-financial risks, and further develop the supervisory oversight framework.  This team also manages operational risk incident analyses and internal/ external finding progress and commitments. The New Business Initiatives Validation team works with the business on coordinating all new activity and transaction approvals.  In Latin America, the Operational Risk and Permanent Control Officer role spans both functions to provide a combined OPC coverage for the region.

 

 

Reporting lines:

 

  • Regional Head of GM LATAM Trading

  • Regional Head of GM Americas Business Supervision & Control

     

  • Responsibilities:


     

  • Business Control

     

  • Perform ongoing analysis of the efficacy and efficiency of the Global Markets control environment

  • Identify control owners, control execution systems and control KPIs; propose opportunities for system, process and procedural enhancements;  initiate and coordinate remediation efforts

  • Provide control support, acting as a key point of contact for Global Markets businesses, Business Management and key functional partners (e.g. Compliance advisory, IT, Operations)  in addressing control requirements

  • Assess and identify new GBL control requirements based on P&Gs, regulatory requirements, results of audit and compliance reviews, and high residual risk areas identified in the annual RSCA

  • Lead key control digitalization projects and /or represent Global Markets’ interests and requirements in relevant forums

     

    Operational Risk management

  • Analysis, monitoring and reporting of incidents

  • Construction and coordination of risk mitigating actions

  • Risk assessment of activities based on process analysis

  • Assessment and mitigation of conduct risk

     

    Reporting & Committees:

  • Preparation or contribution to global and local committees such as Internal Control Committee (ICC), Business Control Committees, Conduct and Operational Risk Committee.

  • Production of reports on a regular and ad-hoc basis for internal and external recipients (Group, Business Lines, Functions, Regulators)

     

    Approval of New Activities and Exceptional Transactions (NAC/TAC):

  • Coordination of the approval process in compliance with the CIB TAC/NAC procedure

  • Quality review of documentation proposed by business

  • Coordination of analysis by partners

  • Organization of validation committee and redaction of minutes

  • Follow-up of conditions completion and transaction status

  • Production of management and regulatory reports



Qualifications:

 

  • Financial Services work experience
  • Excellent verbal and written communication in English and Portuguese. Spanish would be a plus
  • In-depth knowledge of capital markets regulatory and supervisory requirements, as well as insight into industry best practices for 1LOD controls
  • Experience with 1LOD control development and demonstrated excellence in implementation
  • Exposure to capital markets products, processes, risks and controls either in a Business Management, Front Office Control, Middle Office or Product Control role
  • Strong technical acumen

Primary Location: BR-São Paulo Job Type: Convencional Job: RISKS