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VP, Risk & Regulatory Execution: Sales & Trading

New York City, NY, USA | Suntrust Robinson Humphrey

  • Industry:
    Banking / Investment Banking
  • Position Type:
  • Functions:
    Risk Management
  • Experience:
    7-10 years
Job Description:
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The team documents and performs both overarching CIB risk management and group specific risk processes for most CIB business lines. Drives critical internal discussions with the CIB Risk Officers, CIB Leadership and the firm, such as the CIB Executive Team, CIB Head of Compliance, CIB Head of Operational Risk and CIB Audit. The team manages (or is primary contact for) regulatory exams, audits, risk and control self-assessments and any subsequent issue remediation to closure. The team also aids in the development and documentation of risk playbooks and procedures for the sub lines of business to help drive development and execution of risk management. Engages, as the business lead, for CIG/Enterprise system implementations impacting CIB risk infrastructure and plays an advisory role with the functional and risk leadership teams to ensure integration points are captured appropriately and effectively. Other responsibilities include partner with functional teams to ensure CIB risk issues are successfully resolved, manage prioritization process for determination of technology projects, manage system entitlements/access vendor relationships, process efficiency identification, and monitor third party vendor risk status. Perform delegated responsibilities such as business continuity, records management, access management (system and physical), onboarding and invoice approvals. Manage/Perform certain risk training when appropriate.

  • Ensures Coverage and Product Origination groups understand risk for their LOB, appropriately mitigate risks and execute according to policy and regulations.

  • Manages and assist with the build and maintenance of best practices playbooks for each LOB. Ensure procedures are documented with ORM and Compliance guidance.

  • Reviews quality assurance activities, enhance controls within each line of business

  • Monitors and analyzes issues for recurring symptomatic events. Identify and recommend preventative solutions

  • Works with CIB ORM and CIB Compliance to document /report group level KRIs/KPIs

  • Ensures compliance/risk training is completed by the required CIB businesses

  • Manages and continuously enhance Business Continuity Plans, Information Access Management, Business Impact Analysis and Disaster Recovery plans are managed, documented and appropriately tested

  • Assists with LOB risk execution ensuring LOB has the tools, documents and information as needed. Partnership with ORM, Compliance and Audit

  • Assists with monitoring ongoing regulatory exam, walkthroughs and audits including consolidated reporting for exec level review

  • Maintain the administrative infrastructure for CIB including organizational charts, committee charters, ease of access to risk and training materials

  • Communicate to Coverage and Product Origination groups regarding applicable new and existing regulation, policies, procedures

The annual base salary for this position in NY is $118,630 – $225,410

  • BA/BS degree

  • Minimum of 8 years of working experience in financial services, preferably operational risk, compliance or related field

  • In-depth knowledge of investment banking, capital markets, industry sector and/or financial products

  • Strong presentation skills with the ability to effectively summarize complex information and risks in clear and concise reports and deliver it in executive level presentations with precision

  • Superior skills in written and oral communications

  • Advanced proficiency with Microsoft Office Suite

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