Job Summary

Global Markets Operations brings together the Global Markets Middle Office team, In-country Markets Operations, Client & Sales Operations, Post Trade Operations, Clearing &Collateral Operations and Regulatory Operations footprint to foster consistency in client and business face-off across products and geographies. 
 
Reporting to the Global Head of Global Markets Trading Operations, the successful candidate will be the lead for Global Markets US Broker Dealer Operations team and must have prior experience of Broker Dealer Operational Models and in-depth knowledge of the end-to-end product flow.
 
As the Americas Cluster lead for Global Markets Operations, they will have a supervisory mandate across all functions within the regions & countries in their portfolio and will be the primary relationship manager & escalation contact for the regional / local Business Heads & COOs

Key Responsibilities

Strategy

• Instil effective and robust operating models within their Global Markets Operations cluster, incorporating strong risk & control frameworks, clear & concise policies & procedures, and optimal business-as-usual (BAU) processes to ensure alignment with the latest regulatory & industry standards.
• Delivery of the Global Markets Operations strategic roadmap, which incorporates principles from the Process & Controls Simplification programme, Re-platforming agenda and T&O 30 strategy.
• Provide effective challenge across the organisation to ensure remediation actions, organisational design and technology development / implementation is best-in-class. 
• Become a trusted advisor to Senior Markets mgmt. / COOs for their coverage area / cluster.

Business

• Management of the US Broker Dealer, designing and building the operational flows and being the responsible Principal. 
• Provide senior oversight to the Americas Global Markets Operations verticals and face off to senior stakeholders across COO, Sales & Trading Business Leaders, Risk, Compliance, Technology and Operations (not exhaustive)
• Global Markets Operations Verticals include Markets Middle Office, Client Services & Solutions inc. Sales Support, In-Country Operations, Markets Controls & Supervision as well as Relationship / Stakeholder Mgmt., Risk & Control Governance, Product Development / Improvements 
• Optimise the Follow the Sun (FTS) model in Global Markets Operations verticals to ensure exceptional levels of business enablement and client service.
• Lead and represent Global Markets Operations in strategic programmes to enable the Bank to meet regulatory objectives and simplification targets.
• Drive global consistency and transparency by defining and maintaining a premium catalogue of services and capability matrix.  
• Establish efficient BAU day-to-day operations and serve as primary escalation for Global Markets Operations stakeholders internally and externally.  
• Awareness and understanding of the wider business, economic and market environment in which the Markets businesses operate. 
• Drive new business initiatives to aid revenue and growth priorities. Promote controlled growth through enabling efficient processes and effective controls.

Processes

• Ownership of the Global Markets US Broker Dealer Operations catalogue of services and process universe
• Including, but not limited to, Trade Capture, Lifecycle Processing, Exception Mgmt., Query Management, Client Liaison and Service Delivery, Project Mgmt, Post trade Operations and Regulatory Reporting.  
• Document best practices and guidance for process execution – Integrate standardised, globally consistent approaches across their cluster.
• Provide direction to processing and control functions within Global Markets Operations to create high performing, effective teams.  
• Optimise and automate processes to reduce exposure to manual and operational risk heavy processes.

People & Talent

• Provide people, strategic and transformative leadership across their cluster.
• Manage performance effectively through 1-2-1s and skip meetings.
• Promote a speak up culture within the team and host regular team feedback sessions.
• Engagement – Foster a one team culture. 
• Ensure alignment with Span of Control guidelines and de-layer the organisation.

Risk Management

• Define strategy for processes and technology needed to aid risk identification, assessment, remediation, and on-going monitoring. 
• Regular review of the control framework to progress towards a preventative, and automated control landscape.
• Own, drive, and / or participate in remediation programs to mitigate risk to the business.
• Develop and maintain documentation that will provide minimum standards and guidance for all processes in Global Markets Operations.
• Ensure adherence to the Enterprise Risk and Operational Risk Frameworks

Governance

• Embed strong & effective governance principles across their Global Markets Operations cluster.
• Develop metrics to monitor business processes, and to supply indicators of risk and performance.
• Produce effective supervision guidelines and embed into BAU across all Markets business lines supported by Global Markets Operations.
• Provide effective challenge on forums, above and beyond those owned by Global Markets Operations. Live and breathe the #NeverSettle value.

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group’s Values and Code of Conduct. 
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders

• Americas Global Markets Business Heads
• Americas Global Markets COOs 
• Global Markets Sales & Trading  
• Ops CIB COO 
• Business Risk Management
• Platform Development
• Group Operational Risk
• Markets Operations 
• Compliance 

Other Responsibilities

• Responsibility (via matric reporting) for all Global Markets Opeations functions.
• Leverage the opportunity provided by Corporate Social Responsibility to enhance the Group’s internal and external reputation and indirectly influence the bottom line.
• Promote the Group’s brand and Here for good with employees, clients and regulators. 
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
• Maintain effective communication with key stakeholders, including regulators and staff. 

Our Ideal Candidate

Skills & Experience

• 15 plus years of relevant working experience in banking domain
• Working Experience in Broker Dealer environment
• Strong understanding of Security Operations
• Strong understanding of IB / markets businesses, product life cycle, and the operating environment  
• Previous experience in leading multiple global teams across the operations lifecycle – global middle office management, operations lead, risk mgmt.
• Previous working experience in FINRA Regulated work environment 
• Evidenced track record of high-profile project delivery (regulatory, external / internal policy, industry standards, technology)  
• Leadership - strong personal brand with the gravitas and presence to create a movement. 
• External network with awareness of the latest industry developments 
• Strategic mindset & forward-thinking vision 
• Strength in problem solving, process re-engineering and project management.
• Data-driven mindset – able to use data to produce a “story” and present a roadmap / solution to target state.  
• Excellent verbal and written communication skills
• Influencing skills – able to simplify complex problems / scenarios to a wide audience and gain stakeholder buy-in    
• Licenses     FINRA SERIES 24 +27

Role Specific Technical Competencies

• Market Industry Knowledge 
• Process Design & Re-engineering 
• Data Analysis 
• Client Service & Experience  
• Risk & Controls
• Presentation Skill 
• People Management Skill  

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment Assessments

Expected annual base pay range for the role is XXX USD to XXX USD. The final offer will be determined on an individualised basis using a number of variables, including but not limited to skill set, depth of experience and education, internal relativity, and specific work location. At Standard Chartered Bank, Base pay is only part of the total compensation package. Discretionary variable pay and a range of attractive bank sponsored benefit programs are available and designed to foster employee overall health and well-being including, but not limited to, a best in class 401k plan with up to 8% employer match, robust medical plan coverage with employer funded Health Savings Accounts, inclusive family building benefits, and flexible/hybrid working arrangements for many of our positions subject to role specific considerations Visit our careers website www.sc.com/careers 

Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

Visit our careers website www.sc.com/careers