Vice President In Business Unit Risk Within Institutional Securities: Fixed Income Division
Coordinated and managed highly detailed annual global Risk and Control Self-Assessment (RCSA) program for Fixed Income and Bank Resource Management (BRM), organizing and creating visualizations for large data sets, meeting assessment deadlines throughout the year, and developing process efficiencies.Coordinated cross-divisionally to develop and implement a risk management and governance control framework for End User Computing (EUC) tools and Business Models. This included writing policies and procedures, getting key stakeholders buy-in, and training relevant personnel.Oversaw Volcker Rule compliance program for the Fixed Income Division, including conducting annual trading activity reviews with Trading Desk Heads and optimization of existing controls to align with Volcker framework.Managed team of 2 employees and 3 consultants developing trade surveillance tools, controls, and reporting to meet regulatory deliverables and mitigate fraud and conduct risk.Directed the Trader Mandate monitoring program, managing and investigating product trade exceptions to ensure compliance with regulatory requirements, remediating data issues that caused false exceptions, and coordinating regulatory response and deliverables globally. Managed semi-annual electronic trading first line of defense limit reviews with Fixed Income desk heads to ensure appropriate limit values for business activity and direction. Coordinated completion of SEC 15c3-5 Market Access Rule (MAR) annual certification for Fixed Income globally.Project managed development of trade monitoring across multiple Fixed Income asset classes and regulatory deliverables, resulting in reporting and data quality efficiencies across the program.Coordinated responses and oversaw remediation of internal audits findings, as primary liaison between business unit and internal audit function, managing action plan deliverables and reviews across multiple trading desks globally.
