Vice President, Mid-Back Business Control Officer
About the Company
Internationally recognized banking group
Industry
Financial Services
Type
Subsidiary of a Public Company
Founded
1996
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Mid-Back Business Control Officer at the Vice President level. The successful candidate will serve as a business-aligned change agent and risk management individual contributor, providing expert guidance on processes and control design within the middle and back office functions. This role is pivotal in ensuring the effective assessment of risk across the transaction lifecycle and supporting the business unit's interaction with the 2nd Line of Defense functions, including risk management and compliance. The Mid-Back BCO will be responsible for process re-engineering, coordinating with internal and external stakeholders on risk and control matters, and ensuring that the business unit operates in compliance with all relevant laws and regulations. Applicants must have 7 to 10 years of specialized experience in financial services, with a minimum of 5 years in a similar role at a major global financial institution. A BA/BS in a relevant discipline is required, with a preference for advanced degrees. The role demands a professional with a strong functional knowledge of process and control design, risk assessment, and issue management, particularly within the context of middle and back office processes related to fixed income, equities, futures, and credit derivatives. The ideal candidate will also have a solid understanding of broker/dealer and market-making compliance and risk management requirements and possess strong communication, conflict resolution, and project management skills. Professional certifications such as Series 7, 24, or 99 are preferred, and experience with Bloomberg TOMS, Broadridge Impact, and Ullink is a plus.
Hiring Manager Title
Nikko Sales & Trading BCO
Travel Percent
Less than 10%
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