Senior Manager, Front Office Operations & Control, Global Markets

Job Description

To develop, enhance and drive the implementation of the Global Markets (GM) first line of defence (1

LOD) control framework and to establish and maintain a supervisory framework within Global Markets, acting as a key point of contact for GM business and enablement partners in upholding the governance, efficacy, and efficiency of the GM control environment.

• Proactively design and develop a robust and effective 1
  
  LOD Front Office Operations and Controls Framework (OCF) and roadmap to address and mitigate operational, regulatory and conduct risks across the end‑to‑end business value chain.
• Build and manage internal relationship with partners across GM Front Office, Operations (particularly Trade Support), and control functions (Compliance, Legal, and Operational Risk, Market Abuse Surveillance) to drive the effective embedding and execution of the OCF and associated policies, procedures, and processes.
• Measure, monitor, assess and generate comprehensive reporting detailing governance compliance, breaches and impact to the business. Independently assess, oversee, and challenge the effectiveness of the 1
  
  LOD controls where required.
• Lead O&C digitalisation projects, representing GM interests and requirements in relevant forums. Introduce the innovative use of enhanced data analytics and technology solutions to empower O&C across supervision, management and controls testing and the generation of insight from surveillance data for day‑to‑day use in driving better decisions and mitigate risk.

• Proactively design and develop a robust and effective 1
  
  LOD Front Office Operations and Controls Framework (OCF) and roadmap to address and mitigate operational, regulatory and conduct risks across the end‑to‑end business value chain.
• Build and manage internal relationship with partners across GM Front Office, Operations (particularly Trade Support), and control functions (Compliance, Legal, and Operational Risk, Market Abuse Surveillance) to drive the effective embedding and execution of the OCF and associated policies, procedures, and processes.
• Measure, monitor, assess and generate comprehensive reporting detailing governance compliance, breaches and impact to the business. Independently assess, oversee, and challenge the effectiveness of the 1
  
  LOD controls where required.
• Lead O&C digitalisation projects, representing GM interests and requirements in relevant forums. Introduce the innovative use of enhanced data analytics and technology solutions to empower O&C across supervision, management and controls testing and the generation of insight from surveillance data for day‑to‑day use in driving better decisions and mitigate risk.

• Act as a trusted advisor to the GM business, providing expert advice on changes in GM control requirements, how to achieve greater responsiveness to the rapidly evolving market, operational and conduct risk environment, and ways to enhance the efficiency and effectiveness of the business environment. Proactively identify and research local and international best practices to identify, recommend and implement opportunities for enhancements across GM.
• Assess and identify new GM control requirements based on Clients, regulatory requirements, audit results and compliance reviews, and high residual risk areas identified in the annual RCSA. Determine specific system, data and telecommunication control requirements and co‑ordinate projects to implement.

• Embed and drive a risk culture of transparency, accountability, and consistency across all levels of leadership and operational staff, by providing training and development initiatives, disseminating information, regular updates and targeted communication plans to create risk awareness in support of responsible decision making and risk remediation.
• Dealing Room Control and Surveillance Work with compliance and market abuse surveillance who provide surveillance services across GM to identify rogue, abusive or erroneous trading, conduct breaches, incidents, and issues. Where required,…