AVP, Control & Governance job in Abu Dhabi

AVP, Control & Governance

Unlock employer Abu Dhabi, United Arab Emirates Direct to Company Under an hour ago · 11 Sep 2026

Position

About the Role
The role supports the GM MO Control & Governance function by executing and monitoring first-line control activities across Global Markets Middle Office processes, ensuring control discipline, timely exception escalation and accurate evidence management. This position involves performing day-to-day control monitoring across trade controls, risk monitoring, reconciliations, exceptions, breaks, lifecycle events and governance reporting, while working under the direction of the VP & Head of GM MO Control & Governance. Responsibilities include ensuring that trading permissions controls, booking template controls, internal and Islamic trade booking controls, off-market monitoring, counterparty exposure monitoring, reconciliation checks, and control reporting are executed consistently and escalated as needed.
The role collaborates closely with various teams, including GM MO Trade Support, Front Office, Global Markets Operations, Product Control, Market Risk, Finance, Compliance, Technology, Credit, Reference Data, and regional teams to facilitate issue resolution, root cause analysis, control evidence, and operating model discipline. Functional coverage includes control execution and monitoring activities across several products and processes, with geographic coverage spanning UAE and international locations where GM Middle Office Control & Governance support is required.
Key focuses are timely control execution, accurate investigation, evidence retention, aged item tracking, escalation quality, KPI/KRI inputs, and recurring issue remediation. The role may function as an individual contributor or team lead within the Control & Governance team, supporting specialists when assigned and coordinating with peer AVPs across Collateral Management and Reporting.

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Key Responsibilities
Control Execution and Operating Discipline

Execute assigned GM MO Control & Governance activities in line with approved SOPs, control standards, escalation protocols, and evidence requirements.
Perform daily, periodic, and event-driven control checks across assigned Global Markets products and processes.
Maintain disciplined control logs, issue trackers, exception records, evidence files, and escalation documentation.
Support the VP & Head of GM MO Control & Governance in implementing the control operating model, SOP updates, control library requirements, and governance routines.
Identify recurring issues, control gaps, data quality issues, and process breakdowns, and support remediation planning.

Trade Controls

Perform trading permissions control checks against approved desk mandates, product permissions, system entitlements, and operating standards.
Perform booking template and desk business model control checks to identify booking inconsistencies, inappropriate template usage, or policy deviations.
Support review of internal trade booking controls and Islamic trade booking controls where applicable.
Review amendment and cancellation control evidence, including approvals, rationale, thresholds, and escalation requirements.
Escalate breaches, repeated exceptions, or unresolved control issues to the VP & Head of GM MO Control & Governance and relevant owner functions.

Risk Monitoring and Surveillance Support

Perform off-market trade monitoring checks and coordinate escalation of indicators requiring review by Product Control, Market Risk, Front Office, or Compliance.
Support counterparty exposure monitoring activities by tracking exceptions, threshold breaches, pending clarifications, and required stakeholder actions.
Validate completeness of monitoring outputs, exception comments, investigation evidence, and escalation status.
Identify trends in off-market indicators, exposure breaches, late actions, or recurring control exceptions.
Provide inputs into risk monitoring dashboards, KRI reporting, and governance forums.

Reconciliations and Exception Governance

Perform or oversee assigned internal reconciliation checks, including front-to-back, system-to-system, T0, and position-related reconciliations where applicable.
Support external reconciliation follow-up with custodians, counterparties, brokers, clearing channels, or market infrastructure providers where applicable.
Track failed trades, alleged trades, settlement fails, aged breaks, and unresolved exceptions within agreed escalation standards.
Coordinate root-cause analysis for recurring breaks, aged items, and high-impact exceptions.
Ensure reconciliation evidence, exception commentary, and remediation actions are complete, accurate, and available for management review.

Lifecycle Events and Control Support

Monitor assigned lifecycle event controls, including credit events, corporate actions, settlement-related lifecycle updates, and other post-trade control triggers where applicable.
Coordinate with Trade Support, Operations, Product Control, Market Risk, and other stakeholders to ensure lifecycle-related control issues are investigated and escalated.
Track open lifecycle event control items, evidence completion, owner actions, and closure status.
Support timely escalation of high-impact lifecycle events or unresolved control matters to the VP & Head of GM MO Control & Governance.
Contribute to remediation of recurring lifecycle control issues through process clarification, control enhancement, and stakeholder follow-up.

Reporting, MI and Governance Inputs

Prepare inputs for management dashboards, KPI/KRI reporting, control packs, and governance forums relating to assigned control activities.
Provide accurate commentary on exceptions, aged items, trends, breaches, remediation actions, and control performance.
Support regulatory reporting quality oversight by tracking rejections, breaks, owner actions, and remediation status where assigned.
Ensure reporting inputs are accurate, complete, timely, and supported by appropriate evidence.
Support automation and dashboard enhancement opportunities for control reporting and issue tracking.

Audit, RCSA and Control Evidence Support

Support audit, RCSA, operational risk, and control-effectiveness activities by preparing control evidence, issue status updates, and remediation tracking.
Maintain auditable evidence for assigned controls, including source data, review notes, approvals, exception comments, and closure records.
Assist in documenting process gaps, control issues, remediation plans, and management action updates.
Support closure of audit and control-review actions within assigned responsibility areas.
Escalate overdue actions, missing evidence, or unresolved audit/control issues to the VP & Head of GM MO Control & Governance.

Stakeholder Management and Issue Resolution

Coordinate with Front Office, GM MO Trade Support, Global Markets Operations, Market Risk, Product Control, Finance, Compliance, Technology, Credit, and regional teams on control investigations and issue resolution.
Maintain clear communication on control findings, required actions, deadlines, owners, and escalation status.
Provide independent challenge where control issues, incomplete evidence, or recurring weaknesses are identified.
Support effective hand-offs between Trade Support execution activities and Control & Governance oversight activities.
Promote a disciplined, evidence-based, and timely escalation culture across assigned control processes.

Process Improvement and Automation

Identify opportunities to simplify controls, reduce manual effort, improve evidence capture, and enhance reporting accuracy.
Participate in UAT, workflow design, dashboard development, and automation initiatives impacting Control & Governance processes.
Support standardization of control checklists, control logs, escalation templates, and governance reporting formats.
Contribute to continuous improvement initiatives to strengthen control effectiveness, reduce recurring issues, and improve operational resilience.
Coach specialists when assigned and support knowledge transfer across products and control processes.

Frameworks, Boundaries and Decision-Making Authority

Operate within Group policies, approved procedures, organizational governance frameworks, and approved authorization matrices.
Execute assigned controls and escalation activities within approved SOPs, operating standards, control libraries, and evidence requirements.
Escalate material control issues, unresolved exceptions, aged breaks, regulatory reporting breaks, missing evidence, and repeated process failures to the VP & Head of GM MO Control & Governance.
Maintain clear boundaries with GM MO Trade Support: Trade Support owns execution enablement, while Control & Governance owns independent control monitoring, evidence, exception tracking, and governance escalation.
Support audit, RCSA, KPI/KRI, and control-effectiveness processes by maintaining accurate records, timely evidence, and clear action tracking.
Exercise judgment within delegated authority for prioritizing control reviews, coordinating issue resolution, and escalating exceptions.

Key Working Relationships

Internal stakeholders include the VP & Head of GM MO Control & Governance, Head of Global Markets Middle Office, GM MO Trade Support, Front Office, Sales, Trading Desks, Global Markets Operations, Product Control, Market Risk, Finance, Compliance, Legal, Technology, Credit, Operational Risk, Internal Audit, Reference Data, KYC, GM Documentation, Service Governance, and regional Middle Office teams.
External stakeholders may include counterparties, custodians, brokers, clearing channels, clearing houses, market infrastructure providers, external auditors, and regulators where Control & Governance support is required for investigation, evidence, reporting quality, reconciliation, or exception resolution.

Requirements / Qualifications

Bachelor’s degree in finance, Banking, Economics, Business Administration, Accounting, Risk Management or a related discipline; professional qualification preferred.
7+ years of experience in Global Markets Operations, Middle Office, Control, Governance, Reconciliations, Regulatory Reporting, Product Control, Market Risk, Collateral Management or related first-line control functions.
Strong understanding of Global Markets products including FX, Money Markets, Rates, Derivatives, Commodities, Capital Markets, and structured products.
Good knowledge of trade lifecycle controls, booking controls, amendment/cancellation controls, reconciliations, settlement-fail monitoring, lifecycle events, and exception management.
Experience preparing control evidence, issue logs, reconciliation commentary, KPI/KRI inputs, audit evidence, and management reporting.
Practical knowledge of systems and platforms such as Murex, MarkitWire, Bloomberg, reconciliation tools, regulatory reporting platforms, and workflow/dashboard tools.
Strong stakeholder management, investigation, analytical, escalation, and documentation skills.
Experience supporting process standardization, control enhancement, automation, UAT, or operating-model change.

Preferred / Beneficial
Technical Knowledge and Competencies