AVP - Securities & Derivatives Middle Office Control Specialist

A leading global financial institution is seeking an Assistant Vice President Securities and Derivatives Middle Office Control Specialist to join their London-based operations team. This role offers you the opportunity to play a pivotal part in shaping the risk and control landscape within market and securities operations, ensuring robust oversight and proactive management of operational risks.

What you'll do:

• Support the implementation and ongoing maintenance of the First Line Risk & Control framework across Operations by ensuring risks are identified, assessed, monitored, and appropriately mitigated through effective controls.
• Maintain comprehensive risk and control inventories including documentation, assessment, and periodic review of key controls as well as associated business risks relevant to securities and derivatives processes.
• Perform detailed control assessments and gap analysis to identify weaknesses in current frameworks; recommend enhancements and actively support remediation activities for improved operational resilience.
• Monitor and analyse operational risk indicators, performance metrics, and control effectiveness measures; escalate emerging risks or thematic issues promptly to ensure timely resolution.
• Produce accurate management information reports including Key Risk Indicators (KRIs), Key Performance Indicators (KPIs), governance materials for senior management forums, supporting informed decision-making.
• Support Risk & Control Self-Assessments (RCSA), control testing exercises, risk assessments, and other risk management activities in accordance with internal policies and regulatory requirements.
• Investigate operational incidents, exceptions, audit findings, or control failures; identify root causes, track remediation actions diligently, and support timely resolution of issues.
• Assist in managing and tracking issues, actions, and risk remediation plans; ensure appropriate governance structures are followed with delivery against agreed timelines.
• Partner effectively with Operations, Technology, Compliance, Operational Risk, and Change teams to strengthen the overall control environment while driving continuous process improvement initiatives.
• Support internal/external audits as well as regulatory reviews by providing accurate documentation, evidence of controls in place, and subject matter expertise on securities/derivatives operations.

What you bring:

To excel as an Assistant Vice President Securities and Derivatives Middle Office Control Specialist you will bring proven experience from investment banking operations—particularly within first line risk/control environments. Your deep understanding of securities/derivatives trade lifecycles enables you to navigate complex operational flows confidently while maintaining meticulous attention to detail.

• Strong product knowledge coupled with front-to-back process understanding of investment banking operational flows related to securities and derivatives.
• Experience supporting first line risk/control activity within Operations or comparable environments; issue management/control assurance testing/incident management expertise is essential.
• Demonstrable stakeholder engagement skills combined with effective time management abilities that enable you to handle large workloads under tight deadlines.
• Excellent communication skills that allow you to convey complex risks clearly across diverse teams including Operations/Technology/Compliance/Risk functions.
• Proven analytical skills with attention to detail; ability to interpret data accurately while identifying trends or communicating potential risks effectively.
• Experience producing KRI/KPI reporting materials alongside knowledge of RCSA processes for comprehensive risk assessment coverage.
• Ability to investigate operational incidents thoroughly—identifying root causes/tracking remediation actions/supporting timely resolution—with calmness under pressure.
• Knowledge of reconciliation principles applied within securities/derivatives/collateral/asset servicing/settlements/tri-party operations is advantageous but not mandatory.
• Structured/logical approach towards work combined with sound judgement when prioritising tasks according to urgency/accountability requirements.
• Advanced Microsoft Office skills enabling efficient production of reports/documentation/evidence required during audits/regulatory reviews.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates