Equities Operations Control Management – Vice President
On-site · Brooklyn, New York, United States
Job Summary
Equities Operations Control Management Vice President leading development and execution of control frameworks within Global Equities Operations. Partner with Audit, Compliance, and Regulatory teams to assess incidents, perform root cause analysis, and drive remediation of control issues. Design and publish standardized control metrics using analytics tools (Tableau, Qlik) to identify trends and opportunities for process improvement. Drive control remediation programs, govern reporting of control and risk initiatives through analytics and visualization tools, and implement innovative technology solutions (e.g., Alteryx, Xceptor) to automate controls and enhance data analysis. Act as a first line of defense on operations risk and audit matters; coordinate internal and external audits and regulatory reviews; contribute to sustainable risk management and operational excellence.
Required Qualifications
- Demonstrated experience in internal/external audit, operational risk reviews, or targeted risk assessments within financial services or a related industry.
- Strong business analytics skills: ability to extract, analyze, and interpret large data sources using tools such as Tableau, Qlik, Alteryx, or similar platforms.
- Proven ability to conduct functional deep dives and root cause analysis, with a track record of identifying and remediating control gaps.
- Excellent verbal and written communication skills, including the ability to present complex findings and recommendations to senior stakeholders (VP/ED/MD level).
- Strong influencing and negotiation skills; able to build partnerships across Operations, Technology, Audit, and Compliance.
- Advanced analytical, problem-solving, and process re-engineering skills, with meticulous attention to detail.
- Effective time management and prioritization skills; able to deliver results in a dynamic, deadline-driven environment.
- Proactive/self-starter with a commitment to delivering value-added support to business partners.
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