Equities Business Control VP (Investment Bank)

Job Description

Role Overview Our client is a leading investment bank seeking a senior professional to evaluate, test, and enhance the internal control framework to protect the bank's operational, financial, and reputational standing. Acting as a subject matter expert and 1st Line of Defense (1LOD) risk advisor for equities, electronic trading, and liquid financing businesses, this role plays a pivotal part in delivering risk and control excellence. Key Responsibilities • Control Testing & Risk Assessments: Execute reviews to evaluate the effectiveness of internal controls against evolving policies, regulations, and industry best practices. • Issue Identification & Remediation: Investigate control weaknesses, perform root-cause analyses, and define actionable remediation plans prioritized by operational risk and severity. • Stakeholder Advisory & Reporting: Partner with business leaders, compliance, and senior management to provide control advisory support, manage audit engagements, and report key risk findings and recommendations. • Cross-Functional Collaboration: Work collaboratively across units to align the controls framework with active business strategies, new product initiatives, and regulatory change programs. • Strategic Leadership (VP Level): Shape control strategy, manage governance processes, drive continuous improvements, and mentor junior specialists or peers on risk management standards. Show More