GBM Supervisory Risk and Controls team is a First Line risk management function and manages business controls covering supervisory related risks arising from both Equities and Fixed Income Currency & Commodities (FICC) sales & trading activities, as well as pre-trade and post-trade controls for different regulatory obligations in the Global Banking & Markets (GBM) division. The team focuses on control design, implementation and enhancements to ensure risk in GBM is appropriately mitigated.
Roles and Responsibilities
- Design pre-trade and trade business controls for new regulatory implementation and tools supporting supervision framework.
- Support systematic pre-trade and post-trade control design, workflows and processes implementation with Engineering.
- Develop subject matter expertise on business controls and support coverage to effectively investigate and remediate business control issues that arise
- Build relationships with Sales/Trading, Engineering, Compliance, Legal and Operations globally to improve First Line control suite on an ongoing basis.
- Formulate, develop and document control requirements and logics.
- Contribute to strategic initiatives to streamline control design, workflows and processes across obligations
- Analyze data and trends and identify enhancements to existing controls to improve control effectiveness.
- Participate in cross-functional working groups, drive discussions of supervisory and control solutions, and achieve consensus.
- Train impacted Sales/Traders on controls tooling.
Basic Qualifications:
- Bachelor’s degree
- 1-3 years of relevant work experience with specific knowledge of front office supervisory framework or exposure to regulatory implementation.
- Good understanding of risk & controls framework across Trading & Sales businesses
- Positive understanding of securities markets, derivative products and Sales & Trading functions and ability to build relationships with sales / trading personnel
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📌 Global Banking (Bengaluru)
🏢 Goldman Sachs
📍 Bengaluru
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