The Line of Business Compliance, Conduct and Operational Risk (CCOR) Officer plays a key role in independently overseeing the compliance and operational risks within the Securities Services business. This position offers the opportunity to work closely with First Line of Defence business and Controls Management Stakeholders, actively monitoring, assessing, and challenging compliance and operational risks and controls, while developing and implementing the CCOR Framework.

As a Vice President within the CCOR team for Securities Services, you will be at the forefront of helping the firm responsibly expand its Securities Services business by anticipating and navigating new and emerging risks. Your expertise will be instrumental in ensuring the firm not only meets regulatory requirements but also cultivates a culture of risk awareness and proactive management. Your contributions will directly influence the firm’s risk profile, reputation, and long-term success.

Job responsibilities

• Serve as an independent Second Line of Defense, proactively engaging with the business on risk and control matters, highlighting key concerns, and driving collaborative discussions towards effective remediation.
• Participate in New Product Approvals and other business change activities to review and challenge the identification of new and/or material incremental compliance and operational risks
• Provide independent oversight to help ensure the line of business complies with all applicable laws, regulations, and industry standards through regular dialogue and advice on the existing and new regulatory environment.
• Lead the team’s engagement and approach to the growing digital assets agenda for the business.
• Provide support and guidance during regulatory exams, inspections and requests by reviewing documentation, materials, and assisting with drafting responses, as required.
• Actively participate in meetings (internal, preparatory and/or external) as required by regulators, auditors or relevant governance meetings to provide updates from a CCOR perspective.
• Review and provide feedback on internal policies and procedures in line with regulatory changes and industry best practices

Required qualifications, capabilities, and skills

• Minimum 8 years of experience in financial services across one or more of the following: control/risk management, compliance, audit, legal, product or process management, testing, and/or data analysis
• Demonstrable experience and understanding of the Securities Services business including Custody, Fund Services, Trading Services or Data Solutions.
• Relevant experience in risk management, regulatory consulting, audit, legal, or controls.
• Demonstrate capability to learn quickly and manage multiple demands.
• Self-starter who can drive and own deliverables while collaborating with the broader team.
• Strong written and verbal communication skills, with the ability to provide well-reasoned advice, challenge constructively, and build strong partnerships across the organization.
• Confident engaging with stakeholders at all levels on risk and control matters.
• Intellectual curiosity and a passion for continuous learning and professional growth.

Preferred qualifications, capabilities, and skills

• Relevant digital assets, distributed ledger technology experience including crypto assets, tokenized assets or other experience with private and public blockchains, including AI/ML applications in financial services.
• Experience with technology risk assessment frameworks and oversight of strategic technology implementations, including for Artificial Intelligence and Machine Learning technologies.