GFCT Business Control Unit, AVP

Job Title: GFCT Business Control Unit, AVP

Location: Mumbai, India

Role Description

The role is an extension of the onshore Global GFCT Business Management Control team. The Control function is an important role in monitoring, managing and mitigating FIC Operational Risk.

Your key responsibilities

• Annual Client Interaction Inventory Review
• Book Access - Employee Transfer Review
• Commitment Letters Population Completeness and Good to Sign (GTS) Sampling
• Competitive Bids - Annual Review
• Complaints Handling
• Entitlements control
• External legal counsel review
• Inducement Log Annual Compilation Certification
• Marketing Materials Review
• NPA T+1 Breach Control
• Reminder to lead banker that has deals on the banks watch list
• Syndicate Deal Checklist (GFCT)
• Trader Mandate Breach - Review and Validation
• US Best Execution Control
• US Swaps Timeliness Control
• Volcker - Limit Breach Alerts - Review
• Trader Mandates - Assist with maintaining trader mandates for businesses within GFCT, review trader mandate breaches and exception reports.
• Manage all aspects of Front Office Operational risk including operational and financial integrity issues, Self-Identified Issues, Audit Findings, Compliance testing findings, etc.
• Liaison with Desk heads and DCO on various level BAU 1 controls, support a variety of controls which ensure the business is managed on a run-the-bank basis (e.g., Marketing Materials Pitchbook controls, Client Complaints controls, Information barrier controls).
• Provide analytical support to the BCU team and senior management decision making.
• Audit portfolio remediation and tracking of audit findings towards closure, assist in administrative processes in Audit tracking system.
• Support the business led Risk Control Self Assessment.
• Support a variety of GFCT governance forums from pre-meeting, meeting and post-meeting through assistance with production, review, enrichment and analytics tasks. These include Volcker Business Control Forum, global Operational Risk Meeting, UK Senior Management Function meetings, 1LOD Surveillance meeting, FIC Non-Standard Margin Forum, Business Selection Forum, and a number of others.

Your skills and experience

• MBA in Finance from a premier institution or a CA with relevant experience.
• 4-7 years work experience in banking domain working on regulatory projects/ operational risk management/ audit of controls and/ or associated processes, etc.
• Strong interpersonal and excellent verbal and written communication skills. Experience in conducting and driving meetings with senior stakeholders.
• Strong computer skills, particularly in dealing with high volume of data, management of databases and Excel. Advanced exposure to Word and Powerpoint is must.
• Strong analytical skills and ability to formulate clearly and present information in a compelling manner.
• Confident to question the status quo business practice / existing control framework.
• Knowledge of Trade Lifecycle of FIC Products (front to back) would be an added advantage.

Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

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