• c.$300 000 base salary
  • New York, NY, USA
  • Permanent, Full time
  • Mondrian Alpha Recruitment Solutions
  • 2019-04-23

Senior Director - Regional Controls Officer

Location:  New York, NY, USA
Salary: c.$300 000 base salary

Our client, a leading global investment bank, are seeking a Senior Director to fill their newly created Divisional Control Officer role for the Americas region. The role holder must have the ability to identify, measure, evaluate, control and manage risk effectively. This role will cover both operational and financial risk as well as regulatory development and conduct. You will be working directly with the Managing Director for Americas Regulatory Change and Control and the Americas COO. This is a high visibility, high seniority position for an experienced Director who has built their career in the controls space.

Role Responsibilities

  • Provide processes for systematic, proactive and forward-looking risk identification, risk assessment, monitoring, reporting and keeping divisional risk profile up to date.
  • Oversee that appropriate policies, processes and resources are in place to manage non-financial risk.
  • Enforce robust risk governance and ensuring all stakeholders have visibility of key risks and remediation activity
  • Facilitate senior management in decision making through insightful and concise recommendations from risk and control management reports
  • Engage with other 1st Line of Defence “LoD” and 2nd LoD control functions (as required) in the ongoing assessment, reporting and monitoring of risks and controls.
  • Enhance the control environment through the delivery of robust key controls testing
  • Provide challenge to the adequacy of the control environment and remediation plans – this includes appropriateness of risk mitigation measures.
  • Ensure that appropriate levels of governance are being applied to the portfolio and that key risk and decision points are being raised and resolved.
  • Overall interface with Audit for ongoing oversight, co-ordination, quality control, read across for all divisional audit points.
  • Key interface to the regulators to provide a holistic divisional view.
  • Promote risk awareness, encourage prioritization of risk remediation, process re-engineering & strategic risk management.
  • Identifies material remediation priorities for the division and key cross divisional priorities impacting the division (control/remediation book of work).
  • Actively contributes to continual service and governance improvement opportunities.
  • Administer training to ensure that workers have an intricate understanding of all internal control guidelines and standards and learning from incidents
  • Creates an environment that enables a positive risk culture and drives behavioral change.
  • Assures availability of budgets and resources to enable effective delivery of the risk and control programs.
  • Lead, inspire and motivate a team to deliver a safe and secure service.



  • Bachelor’s degree from an accredited college or university (or equivalent, preferably in a related field such as finance, accounting, law or business administration
  • Certified Internal Controls Auditor


  • Exposure to managing regulators such as FRBNY, FINRA, OCC etc
  • Comprehensive knowledge of the external environment (risk, regulatory, political, competitors etc)
  • Outstanding relationship management, collaboration and influencing skills with experience of positive, challenging interactions with senior executives across multiple functions
  • Previous experience in risk management and Operation processes within Investment Banking
  • Leadership of Control and/or Operational Risk Management including extensive industry standard control best practices. 
  • Ability to present complex issues confidently and concisely to senior management using simple language
  • Demonstrated experience in setting strategy, architecting and driving implementation of risk and control framework.
  • Experience of managing staff in a matrix environment without direct line management responsibility for all staff.
  • Ability to build senior relationships by communicating, influencing and negotiating effectively with senior executives, non-executives, regulators, third parties and internal management teams
  • Ability to use initiative to resolve issues, whilst dealing with a diverse range of stakeholders and team members, distributed across functions and locations