Manager Capital Markets Internal Control

Job description

Requisition ID: 235013

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Join a purpose driven winning team, committed to results, in an inclusive and high-performing environment.

Purpose

Leads and oversees the execution of the Global Communications Supervision Procedures on behalf of GBM Internal Controls to ensure compliance with the Code of Conduct, internal policies & procedures, Global FX Code, industry standards and applicable regulatory requirements.

Contributes to the overall success of the Communications Surveillance team ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.

Accountabilities 

• Leadership: Leads a team of Senior Analysts in the execution of the Global Communications Supervision Procedures, inclusive of directing and/or supporting reviewing activities, and ensuring they are conducted expertly, professionally, and effectively.

• Customer Focused Culture: Champions a customer-focused culture and leverages broader Bank relationships, systems and knowledge.

• Business Knowledge: Maintains expert knowledge of Bank processes, policies, procedures, applications and products related to GBM and Global Communications Supervision Procedures and applies this knowledge in the review and analysis of Level 1 communication surveillance activities.

• Documentation & Audit Readiness: Assists management in keeping high-risk regulatory and operational controls current, along with other documentation, including handbooks, test plans, methodology, schedules, reporting, etc.

that contribute to sustaining the Global Communications Supervision Procedures.

• Global Communications Supervision: Coordinates the execution of GBM Communication Supervision Procedures, supervises reviews of Flagged Alerts for, among other things, identify potential non-compliant behaviors and lack of compliance with Bank policies.

This includes:
o Coordinating the review, assessment, disposition and documentation of alert reviews in accordance with GBM Communication Supervision Procedures and standard times.
o Warranting the confidentiality of the information is always maintained and confirming that recording review results are concise and accurate.
o Ensuring timely escalation and documentation of alerts to Level 2 teams when required according to escalation procedures.
o Executing reviews in accordance with relevant policies/procedures and preparing reports on review findings and communicating these to appropriate partners.
o Identifying problems (outliers) and anomalies; making informed observations.

• Support of Communications Surveillance Controls:
o Support the execution of the data feed control and related communication surveillance controls, maintaining constant monitoring to comply with associated regulations.
o Support quality control processes to be centralized and carried out for both Level 1 and Level 2 teams alerts.
o Support the execution of the social media control in accordance to the GBM Social Media Guidance.
o Lead the execution of all controls related to the upstream and downstream processes of Communications Surveillance in accordance with the requirements set forth by the Global Governance team and the regulations associated with them.

• Relationship Management: Develops and maintains strategic relationships by:
o Establishing, building and maintaining relationships with GBM Internal Controls key stakeholders and departments within GBM and International Banking;
o Working with a diverse working group, with varying expertise and job levels; and
o Building good working relations with external vendors and internal/external technology partners, as applicable.

• Other Projects and Activities: Manages/Performs ad-hoc, unique and/or focused reviews as necessary; and other duties and projects as assigned

• Risk Appetite and Risk Culture: Understands how the Bank’s risk appetite and culture should be considered in day-to-day activities and decisions.

• Regulatory and Operational Risks: Contributes/Creates an environment in which he/she pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.

• High Performance: Champions a high-performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviors; communicating vison/values/business strategy; and managing succession and development planning for the team.

 Reporting Relationships
Primary Manager:
• Senior Manager, Communications Surveillance GBM Internal Control
Direct Reports:  • Senior Analysts (5 to 9 FTE)
Shared Reports (solid/dotted if applicable): • N/A

Dimensions

To assist and support Business units and management within Global Business Management with the requirements and responsibilities related to Global Communications Supervision Procedures, this role will lead and support the implementation, documentation, assessing, and oversight on the activities contained in:
• Global Voice and Electronic Communications Policy 
• GBM Communication Supervision Procedures
• Communications Supervision Content Standards
This role will support Global Banking & Markets and International Banking.

Education / Experience 

• Experience in managing a team
• Strong problem solving, critical thinking, and negotiating skills
• Strong written and verbal skills (must be able to prepare documentation and interact effectively with other Bank departments)
• Good accountability and time-management skills
• Thorough knowledge of Bank's regulations, policies, procedures, operations, and functions (preferred but not required)
• Working knowledge of the roles and responsibilities of Global Banking & Markets business units and related business functions across Canadian & International Banking units including various delivery channels.
• Strong proficiency of Excel.
• Solid understanding of the financial services industry, with particular emphasis on multinational and corporate clients/operations.
• Prior experience conducting communication surveillance would be highly desirable.
• Ability to navigate relationships in a highly matrixed organization.
• Bachelor’s degree in business management, finance or accounting.
• Bilingual (Spanish / English).
• Portuguese speaking preferred but not required.

Working Conditions
• Work in a standard office-based environment; non-standard hours may be required.

Located primarily at the GBS Colombia Campus, however, limited travel domestically and globally maybe required.

Required Skill Profession

Operations Specialties Managers