AVP, Control & Governance

Role overview

Control execution and trade controls

• Execute controls under approved SOPs, standards, escalation protocols, and evidence requirements; maintain logs, trackers, exception records, and evidence files.
• Check trading permissions, booking templates, desk business models, internal and Islamic trade bookings, and amendment or cancellation evidence.
• Identify recurring issues, control gaps, data-quality problems, and process breakdowns; support remediation and operating-model improvements.

Monitoring and reconciliations

• Monitor off-market trades and counterparty exposures; validate monitoring outputs and coordinate review of indicators, breaches, and exceptions.
• Perform or oversee internal reconciliations, including front-to-back, system-to-system, T0, and position-related checks where applicable.
• Follow up on external reconciliations; track failed and alleged trades, settlement fails, aged breaks, and unresolved exceptions.
• Coordinate root-cause analysis and ensure evidence, commentary, and remediation actions are complete and available for review.

Lifecycle, reporting, and assurance

• Monitor lifecycle-event controls, including credit events, corporate actions, and settlement-related updates; track actions and escalate unresolved matters.
• Prepare dashboard, KPI/KRI, control-pack, and governance-forum inputs with accurate commentary on exceptions, trends, breaches, and remediation.
• Support regulatory reporting quality oversight by tracking rejections, breaks, owner actions, and remediation status where assigned.
• Support audit, RCSA, operational risk, control-effectiveness, and review activities with auditable evidence and action tracking.

Stakeholders and improvement

• Coordinate investigations with Front Office, Trade Support, Global Markets Operations, Product Control, Market Risk, Finance, Compliance, Technology, Credit, and regional teams.
• Communicate findings, owners, deadlines, and escalation status; provide independent challenge and support effective hand-offs.
• Participate in UAT, workflow design, dashboard development, automation, and standardization of control tools and reporting.
• Support Specialists where assigned and promote knowledge transfer, evidence-based decisions, and timely escalation.

Qualifications and experience

• Bachelor’s degree in finance, banking, economics, business administration, accounting, risk management, or a related discipline; a professional qualification is preferred.
• At least 7 years of relevant experience in Global Markets Operations, Middle Office, control, governance, reconciliations, regulatory reporting, Product Control, Market Risk, Collateral Management, or related first-line control functions.
• Strong understanding of Global Markets products, including FX, Money Markets, Rates, Derivatives, Commodities, Capital Markets, and structured products.
• Knowledge of trade lifecycle and booking controls, reconciliations, settlement-fail monitoring, lifecycle events, and exception management.
• Experience preparing control evidence, issue logs, reconciliation commentary, KPI/KRI inputs, audit evidence, and management reporting.

Technical and behavioral competencies

• Practical knowledge of Murex, MarkitWire, Bloomberg, reconciliation tools, regulatory reporting platforms, or workflow/dashboard tools.
• Strong stakeholder management, investigation, analytical, escalation, and documentation skills.
• Experience supporting standardization, control enhancement, automation, UAT, or operating-model change.
• Control mindset, attention to detail, independent challenge, accountability, clear communication, and ability to manage multiple priorities under time pressure.

Working relationships and scope

• Internal partners include Middle Office, Trade Support, Front Office, Sales and Trading, Operations, Product Control, Market Risk, Finance, Compliance, Technology, Credit, Audit, and regional teams.
• External partners may include counterparties, custodians, brokers, clearing channels, market infrastructure providers, auditors, and regulators.