AVP Control and Governance

About the role

This role supports the GM MO Control & Governance function by executing and monitoring first-line control activities across Global Markets Middle Office processes, ensuring control discipline, timely exception escalation and accurate evidence management. It covers trade controls, risk monitoring, reconciliations, exceptions, breaks, lifecycle events and governance reporting, working under the direction of the VP & Head of GM MO Control & Governance. The role is an individual contributor or team lead, supporting specialists where assigned and coordinating with peer AVPs across Collateral Management and Reporting.

Key responsibilities

• Execute control activities in line with approved SOPs, standards and escalation protocols, keeping control logs, issue trackers, evidence files and escalation records up to date.
• Perform daily, periodic and event-driven control checks across FX/MM, Rates, Derivatives, Commodities and Capital Markets, including trading permissions, booking templates, off-market monitoring, counterparty exposure and reconciliation checks.
• Escalate breaches, repeated exceptions and unresolved issues to the VP & Head of GM MO Control & Governance and relevant owners.
• Support off-market monitoring, counterparty exposure tracking, reconciliation follow-up with custodians and counterparties, and lifecycle event controls such as credit events and corporate actions.
• Track aged items, settlement fails and exceptions, run root-cause analysis and contribute to risk-monitoring dashboards, KPI/KRI reporting and governance forums.
• Prepare control evidence for audit, RCSA and operational risk reviews, and support regulatory reporting quality oversight.
• Work with Front Office, Trade Support, Operations, Market Risk, Product Control, Finance, Compliance, Technology, Credit and regional teams to resolve issues and close recurring problems.