About the Role:

This role is part of the Market Conduct & Supervision Program, a multi-year initiative to develop and implement a comprehensive supervision framework and escalation infrastructure to ensure consistent oversight of market conduct risks across the Corporate and Investment Banking (CIB) division. The successful candidate will partner with relevant business groups to maintain a strong control environment that promotes early identification and sustainable mitigation of operational risk.

Key Responsibilities:

Support the implementation and maintenance of the CIB Supervisory Framework:

Manage the Supervisory hierarchy and associated delegations

Determine Licensing & Registration requirements

Design, implement, and execute Market Conduct & Supervision controls:

Develop evidence-based control activities and define relevant business requirements

Analyze data requirements and identify opportunities for automation

Execute controls in business-as-usual (BAU) environments and escalate exceptions

Train and communicate with employees regarding new or enhanced controls

Develop and manage License and Registration-related controls:

Monitor continuing education, restricted duties, and roles for non-registered personnel

Collaborate with second line of defense (2LoD) Compliance teams on policies, procedures, and governance routines related to Market Conduct & Supervision

Produce reports and materials to support senior leadership with insights into control performance, key risk indicators (KRIs), and key performance indicators (KPIs)

Required Qualifications:

5+ years of experience in risk management, business controls, quality assurance, business operations, compliance, or process improvement – or equivalent experience through education, military, or other work

Experience working within Corporate & Investment Banking, with a strong understanding of its products, services, and associated risks and controls

Desired Qualifications:

Knowledge of FINRA regulatory rules (e.g., licensing requirements, Residential Supervisory Location)

Proven ability to design business controls and perform data analysis

Experience with control execution, documentation, governance, and reporting

Demonstrated partnership with technology teams across the development lifecycle

Strong process documentation and definition skills

Ability to align business operations with strategic objectives

Confidence in risk identification, escalation, and providing credible challenge

Self-starter who can work independently with minimal oversight

High attention to detail and strong analytical skills

Proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint)

Excellent interpersonal, verbal, and written communication skills

Strong collaboration and stakeholder management abilities

EEO/AA Employer/Vet/Disabled.

The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf

The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf

For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.

We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.

AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf

We also consider qualified applicants regardless of criminal histories, consistent with legal requirements. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.