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Associate, Internal Controls, Global Banking and
5 months ago
Requisition ID: 178426
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
**Purpose**
Assist and lead, as required, with the management of Operational Risk inherent in capital markets activities as part of the GBM Internal Control Canada (GBM IC Canada) group within Global Banking & Markets (GBM). The incumbent will monitor, review and report on the management of Operational Risk within GBM. Responsibilities will include ensuring effective internal controls exist, address issues, as and when they arise and provide general support and oversight (as delegated by Management) in GBM.
**Accountabilities**
- Pre-Trade Mid-Market Marks (PTMM)
- Perform testing and compare, on a daily basis, mid-market marks provided to counterparties against end-of-day marks generated by trading source systems
- Review trader pricing spreadsheets to ensure that mid-market marks provided to counterparties are consistent with CFTC requirements
- Summarize results of daily MTM review for the respective Head Traders for their assessment of the reasonableness of differences between mid-market marks and EOD marks
- Document and track results of review and any remedial actions for weekly attestation to Head Traders and monthly reporting to the Swap Dealer Oversight Committee
- Assist in documenting and maintaining the inventory of trader pricing spreadsheets across all applicable OTC derivative products
- Central Counterparty (CCP) Default Management Fire-Drills
- Coordinate with the trading desks and support units to facilitate the Bank’s participation in the mandatory semi-annual CME and LCH (the Bank’s central counterparties for IRS activities) default management fire drills
- Support the Assistant Director, GBM IC Canada in managing default management processes, including: (i) assisting in the testing and validation of the portfolio conversion; (ii) running risk reports for traders to use in computing costs of assuming the portfolio; (iii) providing QA on cost components calculated by the front office; (iv) consolidating cost components and portfolio valuations into a bid to be submitted to CME and LCH; (v) debriefing with stakeholders and documenting issues raised during the fire drill process and action items required to remediate; and other items as requested by Senior Management.
- Trade Supervision
- Assist Trading Management in the oversight and supervision of sales and trading staff, including escalating key issues to desk heads, as and when they occur; and reporting, on a monthly basis, metrics and dashboards to Senior Management and Desk Heads
- Monitoring the position limits imposed by the various exchanges and ensure all the trading positions are maintained within the limits
- Ensure the GBM Operational Risk Management Framework is upheld and that the associated processes, including generating and reporting key metrics for discussion at Senior Management Operational Risk Committee meetings, reflect the key principles of the Framework
- Assist the Director in developing training materials and providing training to trading and sales desks regarding trading and sales controls
- Proactively address immediate and ad-hoc trading issues, which may expose GBM to Operational Risk. This would include working with multiple stakeholders to understand the root cause and the required corrective action;
- Operational Risk Governance & Controls
- Assist the Director in working with the business lines, technology groups and control and support units to ensure appropriate controls are designed into new processes and/or when changes occur as a result of new business, new or enhancements to existing systems, regulatory pronouncements
- Support the Director, GBM IC Canada in preparing for regulatory reviews and requests. This will include working with Trading Management, Compliance, Legal, Finance, Technology and GRM in determining the adequacy of information to be provided. Review materials to ensure accuracy, integrity and completeness
- Support the Director, GBM IC Canada in the development of internal standards, guidelines and procedures to manage Operational Risk within the strategic framework set by the SVP, Head of GBM Internal Controls.
**Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have**:
- At least two years’ experience in a risk management role
- In-depth knowledge of capital markets business, financial instruments and OTC derivatives
- Strong quantitative and problem solving skills
- Good knowledge of internal controls
- Strong written and verbal communications and inter-personal skills
- Completion of CFA/FRM an asset
- French speaking and writing skills required
Location(s): Canada : Ontario : Toronto
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