Executive Director, Supervision Oversight Control Officer, Americas Division

Job Summary

The Supervision Oversight Control Officer is an Executive Director-level first line risk and control leader responsible for designing, governing, and strengthening supervisory activity oversight across the Americas Division, including Global Markets, Capital Markets and Banking. The role provides strategic direction, credible challenge, and practical execution support to Front Office leaders on supervisory procedures, desk review routines, evidence standards, escalation protocols, exception management, and quality assurance across the transaction lifecycle. The role partners with Business Unit BCOs, Front Office supervisors, Compliance, Risk Management, Operations, Technology, Internal Audit, Legal, and other control functions to identify supervisory risks, drive sustainable remediation, and embed accountable, well-documented supervision within day-to-day business execution.

Role Description

Qualifications and Skills

• Expert knowledge of supervisory activity oversight, first-line risk management, process and control design, supervisory procedures, process mapping, control testing, quality assurance, and sustainable remediation practices.
• Expert knowledge of supervisory risk assessment, issue management, exception management, incident management, root cause analysis, governance reporting, and management committee escalation protocols.
• Expert knowledge of Global Markets and Global Banking products, supervision, and processes, including listed and OTC derivatives, fixed income, equities, foreign exchange, treasury products, sales, trading, communications, and post-trade operations.
• Expert knowledge of broker-dealer, swap dealer, banking, securities, and supervisory regulatory expectations, including practical experience supporting audits, examinations, regulatory inquiries, and remediation efforts.
• Strong understanding of end-to-end transaction lifecycle supervisory controls, including onboarding/KYC, credit and limit management, trade capture, communications review, confirmations, documentation, settlement, monitoring, surveillance, and reporting.
• Executive-level leadership, stakeholder management, communication, negotiation, and credible challenge skills, with the ability to influence senior Front Office supervisors and control function partners.
• Proven ability to lead matrixed teams, manage competing priorities, drive supervisory change, and deliver measurable control improvements within a complex global financial institution.
• Strong analytical capabilities, including the ability to interpret supervisory metrics, identify trends and themes, leverage data to support conclusions, and develop actionable remediation plans.
• Excellent judgment, integrity, accountability, and supervisory risk mindset, with the ability to make decisions and escalate issues appropriately in high-pressure environments.
• Strong project and program management skills, including planning, dependency management, status reporting, and execution of cross-functional supervisory control initiatives.

• 10+ years of experience in Global Markets, supervisory activity oversight, first-line risk and controls, business management, operations, compliance, audit, or a closely related control discipline within a major global financial institution.