Operational Risk & Control

Job description

The Operational Risk & Control team works within the global FICC & Derivatives core operations (FDCO) organisation and is responsible for:

  • Providing an independent assessment of control and risk issues for senior management
  • Working with line management to strengthen the control environment and improve control processes
  • Providing an oversight responsibility across regulatory processes
  • Control, design, review & control effectiveness testing
  • Embedding a risk awareness culture across the organization
  • Designing and deploying independent monitoring and escalation functions across the organization
  • Acting as a bridge between Operations teams and the Audit function
  • Ensuring the control framework is linked as necessary to appropriate laws, rules and regulations
  • Detailed investigation, analysis and presentation of operational risk events
  • Education of associates through presentations and work shops
  • Maintenance and development of control standards, and monitoring of compliance


  • Chair monthly risk reviews with the line of business you support
  • Challenge the line of business on their controls and evidence of control design & effectiveness
  • Review and assess all operational events generated by your line of business, identifying thematics where appropriate
  • Review/approve the raising & remediation for audit issues (including self-identified)
  • Review the Risk self assessment by the line of business
  • Proactive Risk Partner for the line of business head (FDCO SLT member)
  • Deep dive investigations of significant risk and control issues
  • Understand and communicate impact on line of business of all relevant enterprise/regulatory led initiatives

Required Skills:

  • Strong collaboration and relationship management skills
  • Control mindset
  • High sense of urgency with ability to drive results
  • Demonstrable evidence of stakeholder management
  • Effective multi-tasking and prioritization skills
  • Self starter, able to establish relationships and transcend multiple cross-functional/divisional boundaries, largely unaided
  • Ability to handle diverse workload and tight schedules
  • Strong risk assessment, negotiation and problem resolution skills
  • Ability to lead and drive change
  • Some experience of Trade support/Operations and/or related support functions, including good understanding of the end to end trade lifecycle and the associated processes within the support functions
  • Some experience of operational risk
  • Proven ability to apply strategic thinking to multiple, complex organizational and business issues, and has ability to translate into practical plans for project execution
  • Excellent verbal and written communication/presentation skills
  • Ability to work across business groups and in a team environment
  • Project management (typically as part of a wider role)
  • Ability to interface across various levels within Trade support, Technology, Operations, Finance and FO
  • High proficiency in PowerPoint, Word and Excel
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