Equities Operations Control Manger - Executive Director
As a Equities Operations Control Manger - Executive Director within the OCM team, you’ll take the lead in coordinating internal and external audit engagements, compliance reviews, and targeted risk assessments. Your expertise will guide Operations on the Control Agenda, manage the Control & Operational Risk Evaluation (CORE) process, and ensure comprehensive issue and action plan monitoring. You’ll also oversee risk event management and Corporate Risk Event Reporting, playing a vital role in safeguarding our operations.
Join a collaborative and innovative environment where your insights and dedication will make a lasting impact on our risk culture and operational excellence.
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.
- Be a leader who actively fosters a culture where risk awareness and control excellence are embedded in every aspect of our operations, empowering teams to anticipate challenges, take ownership, and continuously improve our risk management practices.
- Builds relationships and trust through honesty, accountability, and a high standard of execution.
- Embraces feedback and is committed to continuous development.