Capital Markets - Director - Business Unit Risk Manager Charlotte, NC

Enterprise Services
Charlotte, North Carolina
Jul 01, 2024
Aug 22, 2024
Full Time
Zions Bancorporation

Zions Bancorporation, N.A. (NYSE: ZION) is a premier financial services company with ~$100B in assets operating through 8 brands in Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Texas, Utah, Washington, and Wyoming. With a leading market share in small and middle-market banking, the Bank's 500+ client managers and 200+ wealth advisors have vigorous client development strategies that feed into Zions Capital Markets.

Zions Capital Markets

Zions Capital Markets provides targeted, client-driven financing and advisory solutions to help companies across our markets raise capital efficiently and execute strategic transactions effectively. Our approach is simple -helpclients we know connect and tell their story to investors we know well.

Zions Capital Markets brings "bulge bracket" solutions to the business customers of our local affiliates, as the platform is continually expanding our product capabilities to meet the evolving needs of our client base. The platform currently has teams of experienced professionals operating from offices in Salt Lake City, Houston, Los Angeles, Charlotte, Dallas, Ft. Lauderdale, and Orange County.

Capital Markets - Director - Business Unit Risk Manager

Zions Capital Markets is hiring a Director level professional to join the Business Enablement team and be responsible for efficiently and effectively managing numerous operational and enterprise risk programs across the Capital Markets division. This visible role will support all business lines within Zions Capital Markets including Debt Capital Markets, Sales & Trading, Investment Banking, and Real Estate Capital Markets. This is a new position, and it will report to the Chief Operating Officer (COO) of Zions Capital Markets.

Responsibilities include:
  • Work with the COO, Division Heads/Team Members, and strategic partners (e.g., Risk Management, Technology, Strategic Sourcing, Facilities, etc.) to efficiently and effectively manage our numerous operational risk programs across the Capital Markets division. These programs include (but are not limited to): Risk and Control Self Assessments ("RCSA"), Business Continuity Planning ("BCP"), Business Process Mapping ("BPM"), Third Party Risk/Strategic Sourcing, Issues Management, Facilities/Space Management, and Internal Audit/Regulator coordination. This position is responsible for directly completing deliverables associated with these programs.
  • Daily collaboration with Capital Markets business heads/employees and other key stakeholders including Risk Management, Strategic Sourcing, Technology, Facilities, Internal Audit, and Regulatory Relations to ensure successful business and risk management outcomes for the Capital Markets division.
  • Continuously engage in discussions with Group Heads and business partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products, and services to determine impact, identify, and remediate risk control issues across all risk types.
  • Lead efforts for issues and corrective actions inclusive of root cause identification, issue intake, alignment of corrective actions as well as any related intake and closure requirements.
  • Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record.
  • Perform required front line testing activities required by Second Line Risk Management.
  • Maintain a culture where processes and controls are continually monitored and evaluated with risks and breaks escalated and resolved in a timely basis.
  • Drive results and foster a culture of excellence, innovation, and continuous improvement within the team.
  • Occasional travel to office locations with Capital Markets team members and/or business constituents/strategic enablers
  • Other duties as assigned.

Minimum Requirements:
  • Previous experience working in a capital markets division in a business management, infrastructure, or control role at a financial institution or providing consulting services for capital markets platforms strongly preferred.
  • Direct experience with numerous Operational Risk Frameworks required. Expert knowledge and experience of Operational Risk programs in a Capital Markets business including RCSAs, BCPs, BPMs, Third Party Risk, Strategic Sourcing, Issues Management, Facilities/Space Management, and Internal Audit/Regulator coordination.
  • Deep experience working with key partners/program owners including (but not limited to) second line Operational Risk, Strategic Sourcing, Facilities, Technology, Internal Audit, Regulatory Relations, and any first line risk oversight teams.
  • Expert knowledge of capital markets products, services, and markets including Derivatives (Interest Rates, Commodities, Foreign Exchange, Structured Products, and Credit), Foreign Exchange, Fixed Income Securities, Loan Syndications, Securities Underwriting, Real Estate Capital Markets, and Investment Banking/Advisory.
  • Knowledge and experience with Calypso, Spectrum, Bloomberg TOMS, and/or DealCloud strongly preferred.
  • Expert knowledge of capital markets industry norms, best practices, etc.
  • Deep knowledge of applicable capital markets regulations (OCC, FINRA, MSRB, CFTC, etc.).
  • Expert level knowledge and experience creating management (including C-suite) level presentations, reporting, and analysis.
  • Knowledge and understanding of process/control design, modeling, and development
  • Ability to identify risk factors and ensure enactment and execution of appropriate controls
  • Ability to establish and build trust with professionals throughout the business as a leader, advisor, and business partner to the organization with a clear client and risk management orientation
  • Excellent analytical and quantitative skills.
  • Strong and influential communicator who is articulate, able to easily connect with senior leaders and simultaneously with junior members of the team as well. Demonstrates ability to impact and influence those around them
  • High level of focus on work quality and attention to detail
  • Ability to manage and prioritize multiple projects and track details

  • Medical, Dental and Vision Insurance - START DAY ONE!
  • Life and Disability Insurance, Paid Paternal Leave, and Adoption Assistance
  • Health Savings (HSA), Flexible Spending (FSA), and dependent care accounts
  • Paid Training, Paid Time Off (PTO), and 11 Paid Federal Holidays
  • 401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
  • Mental health benefits, including coaching and therapy sessions
  • Tuition Reimbursement for qualifying employees
  • Employee Ambassador preferred banking products