Lead Equities Ops control frameworks, drive audits and risk remediation, and use analytics/automation to strengthen operational excellence.
As an Equities Operations Control Management Vice President within the Global Equities Operations team, you will play a critical role in safeguarding our business and supporting strategic growth. You will lead the development and execution of control frameworks, coordinate audit and compliance reviews, and drive risk mitigation strategies. In this role, you will partner with cross-functional teams, leverage advanced analytics, and implement innovative technology solutions to enhance operational controls. You will be empowered to anticipate challenges, take ownership, and continuously improve our risk management practices. Your dedication will help foster a culture of risk awareness and operational excellence, making a meaningful impact on our team and the wider firm.
Job responsibilities
- Conduct functional deep dive reviews and targeted risk assessments to identify, analyze, and address control gaps and emerging risks within operational processes.
- Partner with Audit, Compliance, and Regulatory teams to assess incidents, perform root cause analysis, and drive remediation of control issues.
- Design and execute risk mitigation strategies based on findings from audits, deep dives, and risk reviews, ensuring sustainable control enhancements.
- Develop, analyze, and publish standardized control metrics; leverage business analytics tools (e.g., Tableau, Qlik) to identify trends, errors, and opportunities for process improvement.
- Drive control remediation and risk mitigation programs using data-driven insights and metric-based analysis.
- Manage governance and reporting of control and risk initiatives through advanced business analytics and visualization tools.
- Implement innovative technology solutions (e.g., Alteryx, Xceptor) to automate controls, enhance data analysis, and support operational excellence.
- Review significant change agenda and ensure no diminish of controls environment, assist with designing new controls where required.
- Act as a first line of defense with Operations on the control agenda, serving as a trusted advisor on operations risk, control, and audit matters.
- Help coordinate internal and external audit engagements and regulatory reviews, including preparation, walkthroughs, evidence gathering, and remediation tracking.
Required qualifications, capabilities, and skills
- Demonstrated experience in internal/external audit, operational risk reviews, or targeted risk assessments within financial services or a related industry.
- Strong business analytics skills: ability to extract, analyze, and interpret large data sources using tools such as Tableau, Qlik, Alteryx, or similar platforms.
- Proven ability to conduct functional deep dives and root cause analysis, with a track record of identifying and remediating control gaps.
- Excellent verbal and written communication skills, including the ability to present complex findings and recommendations to senior stakeholders (VP/ED/MD level).
- Strong influencing and negotiation skills; able to build partnerships across Operations, Technology, Audit, and Compliance.
- Advanced analytical, problem-solving, and process re-engineering skills, with meticulous attention to detail.
- Effective time management and prioritization skills; able to deliver results in a dynamic, deadline-driven environment.
- Proactive/self-starter with a commitment to delivering value-added support to business partners.
Preferred qualifications, capabilities, and skills
- Experience implementing innovative technology solutions to automate controls and enhance data analysis.
- Familiarity with risk event management and Corporate Risk Event Reporting.
- Ability to manage governance and reporting of control and risk initiatives through advanced business analytics and visualization tools.
- Experience supporting significant change agendas and designing new controls.
- Strong relationship-building skills, fostering trust and accountability.
- Empathetic approach to creating memorable experiences for others.
- Demonstrated ability to identify opportunities for AI and automation integration within operational workflows, including experience evaluating, implementing, or governing AI-driven solutions to achieve scalable process improvements and strategic objectives.