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Contributes to the overall success of Euopean Compliance in the UK ensuring specific individual goals, plans, initatives are executed and delivered in support of the team's business strategies and objectives.  Ensures all activities conducted are in compliance with governinig regulations, internal policies and procedures.

 

Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

 

Responsible for the UK Monitoring and Testing program.

 

Overseas local surveillance activities.

 

Understand how the Bank's risk appetite and risk culture should be considered in day-to-day acitivities and decisions.

 

Activitely pursues effective and efficient operations of his / her respective areas, whiles ensuring adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML / AFT risk and conduct risk.

 

Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment: communicating vision / values / business strategy and managing succession and development planning for the team.

 

Monitoring and Testing:

- Ownership of this program.

- Development and maintenance of the UK Compliance testing reviews methodology and     associated procedures.

- Creation, maintenance and review of the annual and multi-year testing plan.

- Creation, maintenance and review of the monitoring log and review of the effectiveness of   monitoring.

- Plan and conduct desk-based compliance reviews to assess the effectiveness of the Bank's policies and procedures.

- Track, assess and report on the status of remedial action identified within reports until   resolved / concluded.

- Instigate reviews and investigation into regulatory queries and alleged rule breaches.

- Ensure appropriate trend analysis is completed and that findings are clearly communicated.

- Conduct appropriate inquiries and investigations to neusre that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or are escalated.

- Ensure any findings of the testing undertaken are clearly communicated to the Head of Compliance and/or Senior Management as appropriate.

- Complete monthly management informatino for the status of the testing plan as well as additional local management information requested by the HoC.

 

Surveillance

- Oversee local surveillance activies.

- Work with shared services model on surveillance activities including atending committee and working group meetings.

- Act of UK representative on technology projects to enhance surveillance functionalities.

 

Regulatory

- Keep abreast of UK and European legislation and regulatory developments and assist with the preparation of regulatory change reporting to keep management up-to-date on relevant legal and regulatory developments.

 

Policies, Procedures and Controls

- Ownership of the UK Compliance Testing Plan and Reviews Procedure.  Co-ordinate input from other members of UK Compliance.

- Assist with the formulation of new processes and /or systems to strengthen the controls environment Europe businesses operate within.

 

General

- Ensure prompt escalation of compliance issues.

- Maintain compliance knowledge through appropriate training and monitoring of emerging regulatory, legal and Group initiatives and requirements.

 

Direct Reports

  • Responsible for the M&T team and any staff within the team.

 

Key Skills

  • Degree educated or equivalent
  • Solid relevant compliance experience in a financial institution.
  • Intermediate knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures.
  • Intermediate knowledge of UK regulatory rules and principles and in particular SYSC and how these rules apply to compliance monitoring and reviews
  • Experience of multiple stakeholder management at mid-senior management level, including stakeholders from the business as well as third party organisations

 

General Competencies

  • Good understanding of the firm’s business practices, organizational structure, policies and procedures
  • Strong written and verbal business communication skills
  • Good management skills
  • Strong analytical skills and a keen eye for detail
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines
  • Well-developed interpersonal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members
  • Able to recognize and handle sensitive and confidential information
  • Self-motivated, confident and capable of working both independently and in a team environment
  • Superior planning, organizational and time-management skills
  • Results oriented and high achiever
  • Reliable, consistent and disciplined
  • High level of integrity
  • Tactful, diplomatic and politely persistent
  • Advanced knowledge of MS Office and software tools as applied to the position.

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

Senior Consultant, Regulatory Advisory - Remediation, Corporate & Investment Banking

Salary: £45 - £65K - London

This is an exciting opportunity to work as a Senior Consultant within a high growth team, playing a key role in supporting the development of a BIG 4 company. Travel will be required at times.

While economic recovery looks set to continue in the EU, the financial services sector is still facing tough challenges including, low interest rates, muted client activity, an escalating regulatory burden and intense supervisory scrutiny. This makes it an exciting opportunity to work within a high growth team, where you will play a key role in the support and development of this Big 4 company. 

 

The opportunity 

Our Client is dedicated to helping their clients navigate the ever changing and complex landscape.  Their Financial Services Risk Practice offers strategic and operational services aimed to improve clients’ ability to assess, monitor and improve their systems and internal controls delivering innovative, dynamic and sustainable solutions.  They are seeking to be the leading global provider of integrated content risk, risk-management and regulatory advisory services in the financial services sector and are looking for talented people to join them on the journey. Progression opportunities exist for motivated and exceptional performers, and all successful candidates will be provided with structured training and professional development enabling them to meet the requirements of this responsive and fast paced team. Candidates must be flexible and be prepared to work from client locations for the duration of the client engagement.

 

Their cross-border Regulatory Advisory team is made up of over 73,000 people, including 3520 partners, working across 12 Sub-Areas and 93 countries in EMEIA. The team brings together a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.  They work closely with regulators to help provide the top UK and EU financial institutions support on:

 

  • Strategic implications of regulation (including impact on business model and operating model)
  • Effective implementation of regulatory directives
  • Remediation of regulatory issues
  • Effective implementation of risk management processes
  • Embedding a risk based performance assessment

 

The Corporate and Investment Banking team works closely with a number of high profile clients in this sector.  The team has undertaken a variety of engagements working with both the Front Office and key control functions. Examples of engagements include the implementation of processes around the identification of conduct risk, conflicts reviews, governance effectiveness and the implementation of new regulations such as MiFID 2.  The range of regulatory initiatives with which the team is involved means that there is a dynamic team environment providing team members with a wealth of opportunities for personal growth and development.

 

Your key responsibilities

 

As an Executive in the Corporate and Investment Banking team, depending on experience and type of engagement, you will be responsible for the following:

Produce, with limited supervision, complete and accurate work.  Build credible relationships with clients both by demonstrating technical skills and knowledge and also by handling complaints and customer redress appropriately.

  • Provide a variety of support on client campaigns from researching new regulations to assisting effective business implementation. 
  • Develop presentations that are clear and impactful, translating the company's services into meaningful value propositions for clients.
  • Document collation and review– evidencing paper trail of transactions and analysing legal and other documents to identify key facts, anomalies, etc, for categorisation
  • Data input and reporting– of key information into spreadsheets and/or proprietary systems, by conducting detailed and summary analyses (by transition, time period or categorisation).
  • Contract reviews – analysing if requirements are adequately defined and documented.
  • Regulatory remediation and quality compliance testing.

 

Skills and experience

  • Regulatory experience at the FSA/ FCA, a FTSE 100 Financial Services organisation, one of the other Top 4 consultancies, or another Advisory firm
  • Knowledge of CASS, governance, conduct risk, new regulatory developments such as MiFID 2 would be beneficial
  • Strong academic background which could include the following: 2:1 degree, CII Exams ( FPC / AFPC), CISI Level 4, Prince 2, CeMAP, CeFA and / or Other Financial Services qualifications

Our client offers an extended range of training courses from technical to ‘soft skills’ building out their client and market experience and making them stronger and better individually.   As  part of this company you will be encouraged to grow and develop throughout your career.

The multi-disciplined teams work on a wider variety of clients and engagements cross-border to provide the clients with a consistent level of service and quality. As a result you will be required to travel, sometimes at short notice and sometimes for lengthy periods of time.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Manager, Regulatory Advisory, Corporate & Investment Banking

Salary: £65 - £80K - London

This is an exciting opportunity to work as a Manager within a high growth team, playing a key role in supporting the development of a BIG 4 company. Travel will be required at times.

While economic recovery looks set to continue in the EU, the financial services sector is still facing tough challenges including, low interest rates, muted client activity, an escalating regulatory burden and intense supervisory scrutiny. This makes it an exciting opportunity to work within a high growth team, where you will play a key role in the support and development of this Big 4 company. 

 

The opportunity 

Our Client is dedicated to helping their clients navigate the ever changing and complex landscape.  Their Financial Services Risk Practice offers strategic and operational services aimed to improve clients’ ability to assess, monitor and improve their systems and internal controls delivering innovative, dynamic and sustainable solutions.  They are seeking to be the leading global provider of integrated content risk, risk-management and regulatory advisory services in the financial services sector and are looking for talented people to join them on the journey. Progression opportunities exist for motivated and exceptional performers, and all successful candidates will be provided with structured training and professional development enabling them to meet the requirements of this responsive and fast paced team. Candidates must be flexible and be prepared to work from client locations for the duration of the client engagement.

 

Their cross-border Regulatory Advisory team is made up of over 73,000 people, including 3520 partners, working across 12 Sub-Areas and 93 countries in EMEIA. The team brings together a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.  They work closely with regulators to help provide the top UK and EU financial institutions support on:

 

  • Strategic implications of regulation (including impact on business model and operating model)
  • Effective implementation of regulatory directives
  • Remediation of regulatory issues
  • Effective implementation of risk management processes
  • Embedding a risk based performance assessment

 

The Corporate and Investment Banking team works closely with a number of high profile clients in this sector.  The team has undertaken a variety of engagements working with both the Front Office and key control functions. Examples of engagements include the implementation of processes around the identification of conduct risk, conflicts reviews, governance effectiveness and the implementation of new regulations such as MiFID 2.  The range of regulatory initiatives with which the team is involved means that there is a dynamic team environment providing team members with a wealth of opportunities for personal growth and development.

 

Your key responsibilities

 

As a Manager in the Corporate and Investment Banking team, depending on experience and type of engagement, you will be responsible for the following:

 

  • Advise clients with deep technical insights and build credibility based on an understanding of their challenges related to technical matters.
  • Provide high quality, professional day-to-day execution of engagements and projects in line with firm risk management practices for the financial services practice.
  • Work on project teams focused on advisory projects and assist engagement management to successfully complete engagement objectives, including: priorities, working papers, internal reports, program development, milestones, roles and responsibilities, risks, outputs, and engagement economics, update stakeholders and escalate scope changes/timelines/issues as appropriate.
  • Identify and communicate findings to senior management and client personnel.
  • Supervise project work prepared by more junior professionals, providing feedback and guidance on quality outputs.
  • Understand firm service offerings and mentor associates, interns, and new hires
  • Develop ideas to expand the company's current offerings and initiate discussions with clients.
  • Enable the business development process by gathering appropriate resources, gaining access to key contacts, supervising proposal writing and driving progress to completion. 

 

Skills and experience

  • Regulatory experience at the FSA/ FCA, a FTSE 100 Financial Services organisation, one of the other Top 4 consultancies, or another Advisory firm
  • Knowledge of CASS, governance, conduct risk, new regulatory developments such as MiFID 2 would be beneficial
  • Strong academic background which could include the following: 2:1 degree, CII Exams ( FPC / AFPC), CISI Level 4, Prince 2, CeMAP, CeFA and / or Other Financial Services qualifications

Our client offers an extended range of training courses from technical to ‘soft skills’ building out their client and market experience and making them stronger and better individually.   As  part of this company you will be encouraged to grow and develop throughout your career.

The multi-disciplined teams work on a wider variety of clients and engagements cross-border to provide the clients with a consistent level of service and quality. As a result you will be required to travel, sometimes at short notice and sometimes for lengthy periods of time.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Senior Consultant, Regulatory Advisory - Corporate & Investment Banking

Salary: £45 - £65K - London

This is an exciting opportunity to work as a Senior Consultant within a high growth team, playing a key role in supporting the development of a BIG 4 company. Travel will be required at times.

While economic recovery looks set to continue in the EU, the financial services sector is still facing tough challenges including, low interest rates, muted client activity, an escalating regulatory burden and intense supervisory scrutiny. This makes it an exciting opportunity to work within a high growth team, where you will play a key role in the support and development of this Big 4 company. 

 

The opportunity 

Our Client is dedicated to helping their clients navigate the ever changing and complex landscape.  Their Financial Services Risk Practice offers strategic and operational services aimed to improve clients’ ability to assess, monitor and improve their systems and internal controls delivering innovative, dynamic and sustainable solutions.  They are seeking to be the leading global provider of integrated content risk, risk-management and regulatory advisory services in the financial services sector and are looking for talented people to join them on the journey. Progression opportunities exist for motivated and exceptional performers, and all successful candidates will be provided with structured training and professional development enabling them to meet the requirements of this responsive and fast paced team. Candidates must be flexible and be prepared to work from client locations for the duration of the client engagement.

 

Their cross-border Regulatory Advisory team is made up of over 73,000 people, including 3520 partners, working across 12 Sub-Areas and 93 countries in EMEIA. The team brings together a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.  They work closely with regulators to help provide the top UK and EU financial institutions support on:

 

  • Strategic implications of regulation (including impact on business model and operating model)
  • Effective implementation of regulatory directives
  • Remediation of regulatory issues
  • Effective implementation of risk management processes
  • Embedding a risk based performance assessment

 

The Corporate and Investment Banking team works closely with a number of high profile clients in this sector.  The team has undertaken a variety of engagements working with both the Front Office and key control functions. Examples of engagements include the implementation of processes around the identification of conduct risk, conflicts reviews, governance effectiveness and the implementation of new regulations such as MiFID 2.  The range of regulatory initiatives with which the team is involved means that there is a dynamic team environment providing team members with a wealth of opportunities for personal growth and development.

 

Your key responsibilities

 

As an Executive in the Corporate and Investment Banking team, depending on experience and type of engagement, you will be responsible for the following:

Produce, with limited supervision, complete and accurate work.  Build credible relationships with clients both by demonstrating technical skills and knowledge and also by handling complaints and customer redress appropriately.

  • Provide a variety of support on client campaigns from researching new regulations to assisting effective business implementation. 
  • Develop presentations that are clear and impactful, translating the company's services into meaningful value propositions for clients.
  • Document collation and review– evidencing paper trail of transactions and analysing legal and other documents to identify key facts, anomalies, etc, for categorisation
  • Data input and reporting– of key information into spreadsheets and/or proprietary systems, by conducting detailed and summary analyses (by transition, time period or categorisation).
  • Contract reviews – analysing if requirements are adequately defined and documented.
  • Regulatory remediation and quality compliance testing.

 

Skills and experience

  • Regulatory experience at the FSA/ FCA, a FTSE 100 Financial Services organisation, one of the other Top 4 consultancies, or another Advisory firm
  • Knowledge of CASS, governance, conduct risk, new regulatory developments such as MiFID 2 would be beneficial
  • Strong academic background which could include the following: 2:1 degree, CII Exams ( FPC / AFPC), CISI Level 4, Prince 2, CeMAP, CeFA and / or Other Financial Services qualifications

Our client offers an extended range of training courses from technical to ‘soft skills’ building out their client and market experience and making them stronger and better individually.   As  part of this company you will be encouraged to grow and develop throughout your career.

The multi-disciplined teams work on a wider variety of clients and engagements cross-border to provide the clients with a consistent level of service and quality. As a result you will be required to travel, sometimes at short notice and sometimes for lengthy periods of time.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Senior Manager, Business Change & Conduct Group

Salary: £80 - £120K - London

This is an exciting opportunity to work as a Senior Manager within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

This company is one of the world's leading professional service organisations.  From 158 countries, they help clients, some of the most successful organisations on the globe, as well as its most dynamic entrepreneurs and thriving private businesses, to create the value they want.  Our client helps measure, protect and enhance the things that matter to them most.

 

Our client looks for future employees to demostrate the skills and behaviours that support them in delivering their business strategy.  This is important to the work they do for their business and clients.  These skills and behaviours make up the global leadership framework.  These core five attributes are:  whole leadership, technical capabilities, business acumen, global acumen and relationships.

 

Our client offers great opportunities for people with diverse backgrounds and experiences.  They seek to attract and employ the best people from the widest talent pool, as well as those who reflect the diverse nature of our society.  They aim to encourage a culture where people can be themselves and be valued for their strengths.  Creating value through diversity is what makes our client stronger as a business and as an organisation with an increasingly agile workforce, they are open to flexible working arrangements where appropriate.

 

Background

You will be required to understand the Regulatory and Business Landscape and influence change.  You will need to help clients navigate through each new complexity and this is how you will bring value to the clients every day.  The world of Risk and Regulation is changing and you could have the opportunity to join the journey and be part of creating a new and relevant Financial Services Industry.  

Supporting clients with managing non-financial risk and continue to excel in this and strengthening the Financial Services Risk & Regulation practice.  Working with clients across Banking & Capital Markets while they continue to face new challenges given significant shifts in the regulatory and business environment.  The client base consists of loarge global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.

 

Business Change & Conduct

We are specifically looking for candidates to join their Business Change & Conduct group.  Specialists are self-starting, agile and thrive on bringing past experiences to new and diverse challenges.  They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to the clients in the capital markets area, primarily large global banks, on regulatory change and redmediation, governance risk and controls as well as critical business change.  These services can be in the form of regulatory / consulting advice, implementation support or controls review and recommend reports.  You will be required to work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.    Below are some of the types of work you could be involved in:

  • Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
  • Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
  • Supporting the clients with business change e.g. Brexit planning and support
  • Helping banks with their regulatory authorisation and licensing

 

Responsibilities:

  • Leading and contributing to development of new business relationships and business proposals
  • Managing a Banking and Capital Markets client delivery portfolio reporting to the Director/Partner Group
  • Driving and delivering business and regulatory change programmes
  • Leading engagement teams of up to 10 staff
  • Managing and building day-to-day client relationships across a complex network of stakeholders and management structures
  • Managing staff and taking on coaching responsibilities

The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.

 

Role requirements
Essential skills:

  • 7 yrs+ experience of working within professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
  • Leadership skills with a proven track record of successfully leading significant complex change/client engagements
  • Exceptional client relationship, stakeholder management and inter-personal skills, with a proven track record of dealing and influencing senior stakeholders
  • Good commercial awareness, sound reporting skills and the ability to work under your own initiative
  • Excellent oral and written communication skills (ie report writing)
  • The ability to apply independent judgement during engagements and to support conclusions reached to senior level personnel both internally and externally
  • Very strong attention to detail
  • Strong power-point skills
  • Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena

 

Desirable skills:

An ability to work  under pressure within an ambiguous environment



 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Manager, Business Change & Conduct Group

Salary: £50 - £70K - London

This is an exciting opportunity to work as a Manager within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

This company is one of the world's leading professional service organisations.  From 158 countries, they help clients, some of the most successful organisations on the globe, as well as its most dynamic entrepreneurs and thriving private businesses, to create the value they want.  Our client helps measure, protect and enhance the things that matter to them most.

 

Our client looks for future employees to demostrate the skills and behaviours that support them in delivering their business strategy.  This is important to the work they do for their business and clients.  These skills and behaviours make up the global leadership framework.  These core five attributes are:  whole leadership, technical capabilities, business acumen, global acumen and relationships.

 

Our client offers great opportunities for people with diverse backgrounds and experiences.  They seek to attract and employ the best people from the widest talent pool, as well as those who reflect the diverse nature of our society.  They aim to encourage a culture where people can be themselves and be valued for their strengths.  Creating value through diversity is what makes our client stronger as a business and as an organisation with an increasingly agile workforce, they are open to flexible working arrangements where appropriate.

 

Background

You will be required to understand the Regulatory and Business Landscape and influence change.  You will need to help clients navigate through each new complexity and this is how you will bring value to the clients every day.  The world of Risk and Regulation is changing and you could have the opportunity to join the journey and be part of creating a new and relevant Financial Services Industry.  

Supporting clients with managing non-financial risk and continue to excel in this and strengthening the Financial Services Risk & Regulation practice.  Working with clients across Banking & Capital Markets while they continue to face new challenges given significant shifts in the regulatory and business environment.  The client base consists of loarge global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.

 

Business Change & Conduct

We are specifically looking for candidates to join their Business Change & Conduct group.  Specialists are self-starting, agile and thrive on bringing past experiences to new and diverse challenges.  They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to the clients in the capital markets area, primarily large global banks, on regulatory change and redmediation, governance risk and controls as well as critical business change.  These services can be in the form of regulatory / consulting advice, implementation support or controls review and recommend reports.  You will be required to work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.    Below are some of the types of work you could be involved in:

  • Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
  • Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
  • Supporting the clients with business change e.g. Brexit planning and support
  • Helping banks with their regulatory authorisation and licensing

 

Responsibilities:

  • Contributing to development of new business relationships and business proposals
  • Managing a Banking and Capital Markets client delivery portfolio reporting to the Senior Manager Group
  • Delivering business and regulatory change programmes
  • Leading engagement teams of up to 5 staff
  • Managing and building day-to-day client relationships across a network of stakeholders internally and externally
  • Managing staff and taking on coaching responsibilities

The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.

 

Role requirements
Essential skills:

  • 5 yrs+ experience of working within professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
  • Leadership skills with a proven track record of successfully leading work-streams within change/client engagements
  • Strong client relationship, stakeholder management and inter-personal skills, with a proven track record of dealing and influencing stakeholders
  • Good commercial awareness, sound reporting skills and the ability to work under your own initiative
  • Excellent oral and written communication skills (ie report writing)
  • The ability to apply independent judgement during engagements and to support conclusions reached to senior level personnel both internally and externally
  • Very strong attention to detail
  • Strong power-point skills
  • Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena

 

Desirable skills:

An ability to work  under pressure within an ambiguous environment


 

 

 

 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Senior Associate, Business Change & Control Group

Salary: £35 - £50K - London

This is an exciting opportunity to work as a Senior Associate within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

This company is one of the world's leading professional service organisations.  From 158 countries, they help clients, some of the most successful organisations on the globe, as well as its most dynamic entrepreneurs and thriving private businesses, to create the value they want.  Our client helps measure, protect and enhance the things that matter to them most.

 

Our client looks for future employees to demostrate the skills and behaviours that support them in delivering their business strategy.  This is important to the work they do for their business and clients.  These skills and behaviours make up the global leadership framework.  These core five attributes are:  whole leadership, technical capabilities, business acumen, global acumen and relationships.

 

Our client offers great opportunities for people with diverse backgrounds and experiences.  They seek to attract and employ the best people from the widest talent pool, as well as those who reflect the diverse nature of our society.  They aim to encourage a culture where people can be themselves and be valued for their strengths.  Creating value through diversity is what makes our client stronger as a business and as an organisation with an increasingly agile workforce, they are open to flexible working arrangements where appropriate.

 

Background

You will be required to understand the Regulatory and Business Landscape and influence change.  You will need to help clients navigate through each new complexity and this is how you will bring value to the clients every day.  The world of Risk and Regulation is changing and you could have the opportunity to join the journey and be part of creating a new and relevant Financial Services Industry.  

Supporting clients with managing non-financial risk and continue to excel in this and strengthening the Financial Services Risk & Regulation practice.  Working with clients across Banking & Capital Markets while they continue to face new challenges given significant shifts in the regulatory and business environment.  The client base consists of loarge global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.

 

Business Change & Conduct

We are specifically looking for candidates to join their Business Change & Conduct group.  Specialists are self-starting, agile and thrive on bringing past experiences to new and diverse challenges.  They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to the clients in the capital markets area, primarily large global banks, on regulatory change and redmediation, governance risk and controls as well as critical business change.  These services can be in the form of regulatory / consulting advice, implementation support or controls review and recommend reports.  You will be required to work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.    Below are some of the types of work you could be involved in:

  • Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
  • Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
  • Supporting the clients with business change e.g. Brexit planning and support
  • Helping banks with their regulatory authorisation and licensing

 

Responsibilities:

  • Contributing to development of business proposals
  • Supporting on delivery of a Banking and Capital Markets client delivery portfolio reporting to the Manager Group
  • Delivering allocated work-streams on business and regulatory change programmes under the review of a manager
  • Managing and building day-to-day client relationships across a network of stakeholders internally and at clients
  • Managing junior staff and taking on coaching responsibilities


The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.

 

Role requirements
Essential skills:

  • 3 yrs+ experience of working within established professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
  • A proven track record of successfully supporting work-streams within change/client engagements
  • Strong client relationship, stakeholder management and inter-personal skills, with a good track record of dealing with stakeholders
  • Good commercial awareness, sound reporting skills and the ability to work under your own initiative
  • Strong oral and written communication skills (ie report writing)
  • The ability to apply good judgement during engagements and to support conclusions reached to more senior level personnel both internally and externally
  • Very strong attention to detail
  • Strong power-point skills
  • Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena


Desirable skills:

  • Ability to work  under pressure within an ambiguous environment
  • Relevant qualification – ACA, CFA etc

 



 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Compliance Auditor / Audit Manager

Salary: £60 - £80K - London

This exciting opportunity requires approximately 70% time spent travelling, mainly to Paris.

Our Client has a presence in 75 countries with more than 185,000 employees, including 145,000 in Europe.  They rank highly in 2 core activities:  Retail Banking & Services and Corporate & Institutional Banking ( CIB ).  They work continuously on behalf of their clients, helping them to realize their projects around the world.  You have the opportunity to be part of this, helping to serve their clients both in mature and emerging markets, providing financial solutions across a diverse range of experise, products and services.  

Strong risk management, combined with the stability that comes from being part of one of the largest banking groups in the world, underpin their success.  Joining our client, you would become part of an integral dynamic team that spans nationalities, cultures and backgrounds, drawing people together from around the globe.

 

Department Overview:

The successful candidate will operate as a member of a highly qualified team of approximately 85 Auditors operating as a geographical "hub" within the Group's wider Internal Audit function ( comprising 1300 staff overall).  The department's remit is to provide audit and consultancy services across Paris CIB, and the UK and ME regions.  

Primary recipients of services provided by the role advertised are the Businesses, Operations and Support Functions in the UK Region & CIB Paris (UK, CIB Paris, Ireland, Channel Islands), in close liaison with Senior Management and Head Office entities. The main focus is to help the organisation accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes.

Each Auditor is assigned to a team which, whilst part of the pooled “hub” concept, has a particular focus on defined business line(s) and / or function(s). As a member of the Compliance / Regulatory Affairs audit team, the candidate will have responsibility for undertaking technical compliance / regulatory audit reviews with a strong emphasis on Global Markets within Corporate & Investment Banking and associated activities. A fundamental attribute of the role is possession of strong expertise in the regulatory environment (from a compliance risk perspective) applicable to financial markets/investment banking activities.

The individual sought will additionally be expected to act as one of the department’s “experts” available for consultation by other auditors in respect of their focus area, sharing knowledge and cross-training when appropriate.

The Audit Hub provides staff with an excellent grounding in all aspects of the business, and interaction with Management enables strong relationships to be built. Having performed successfully in this role, the individual will have the benefit of a broad range of career opportunities within the Group - both within Internal Audit, and wider Business Lines, Operations and Functions; in the UK, France and abroad. A comprehensive training programme is in place to ensure continued professional development.

 

Overall Job Purpose

You will:

  • Contribute relevant technical expertise to the Compliance / Regulatory Affairs audit team to assist in establishing the team as a “centre of excellence” for technical assessment of regulatory adherence;
  • Play an active role in the Audit Hub, performing risk-based audit reviews and recommending solutions to address weaknesses identified

 

Key Responsibilities

A standard distribution of time:

1. Performing audit reviews

2. Undertaking risk assessment (so contributing to the Audit Plan)

3. Following up internal audit recommendations

4. Performing or participating in control related ad-hoc projects and investigations

 Main tasks are to be performed in line with professional standards of the IIA and Group internal guidelines, and comprise the following:

  • In accordance with our Client's audit methodology, contribute technical compliance elements of financial markets audit reviews conducted by core business teams / perform audits of Compliance departments and thematic audit reviews under the responsibility of the Regulatory Affairs team.
  • Hold sole responsibility for research, planning, execution and reporting of audit work around relevant regulatory risks / controls. (N.B. Initial focus will be on French, UK and EU regulations, although extra-European regulation must be considered where appropriate – e.g. Dodd Frank).

Deliver conclusions and recommendations supported by comprehensive and value-added written reporting.

Contribute to quality and effectiveness within the business by providing pro-active advice supported by practical and balanced solutions to issues.

 

Skills & Experience Required:

  • Very strong Compliance skillset –gained within Compliance / Legal / Audit functions within Financial Services (ideally investment banking)
  • A desire to travel (up to c.70% travel, mainly to Paris)
  • A Compliance or Legal qualification (or display of equivalent knowledge gained through practical experience)
  • Strong English and French language skills (verbal and written)

 

Competencies:

  • Highly motivated and proactive, with the following attributes:
  • Strong ability to analyse & synthesize complex information
  • Thoroughness of approach, with the ability to prioritise competing demands
  • Excellent written and verbal communication skills
  • Commitment and drive
  • Assertiveness
  • Ability to work within a close-knit team
  • Strong and evidenced interest in regulation/compliance

 

Conduct:

  • Be a role model, supporting and fostering a culture of good conduct
  • Demonstrate proactivity, transparency and accountability for identifying and managing conduct risks
  • Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure.
  • [For managers only] Take responsibility for your team’s conduct and conduct risks.

 

 

 

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

Compliance Officer

Salary: £65,000 + 12% cash allowance - London

This is a great opportunity of providing compliance advice and working closely with senior leadership.

The Role

The role holder will be responsible for providing day to day compliance advice and support to various business activities, including the provision of insurance mediation and investment advice to both professional and retail clients.This will involve working closely with senior leadership and following the approved Risk Governance Frameworks in place. The role will include Compliance Monitoring across the business.

 

Responsibilities
 Monitor industry and regulatory developments relevant to the business
 Interpret regulatory rules and work with the business to ensure compliance is maintained as regulations change and industry understanding evolves and develops
 Partner with the business to enhance and foster a culture of compliance and professionalism
 Provide advice and guidance to businesses in respect of ad-hoc queries and new projects
 Work with the business to design new (and/or enhance existing) procedures that are both compliant and business efficient
 Support colleagues and the business to manage regulatory and other business risks
 Identify regulatory and business risks and develop the control environment accordingly
 Undertake monitoring activity (including office visits) to identify weaknesses in the control environment and breaches. Work with the business on appropriate action to be taken to manage any breach and ensure controls are established to minimise the likelihood of, and /or impact of further breaches
 Provide accurate and timely management information, analysis and reports to the CCO and senior management.
 Ensure required reporting to the FCA and any other third parties is completed as required
 Participate in regulatory change management and/or business projects and providing the appropriate regulatory guidance to the business on these projects


Education
 Degree level or equivalent
 A relevant professional qualification is highly desirable but not essential
Knowledge & skills
 A strong understanding of FCA regulation and the financial services environment in the UK. Proven experience of working in a compliance / risk department
 This is a key (internal) client facing role requiring effective day to day communication and responsibility for delivering work to an agreed timetable
 Demonstrable knowledge of relevant regulation in the UK
 A reasonable knowledge of any relevant EU legislation
 Excellent interpersonal skills, including oral/written communication & influencing skills, and who takes responsibility for decisions
 Strong team player with good organisation, planning and leadership skills
 Highly motivated, with a proven ability to work on own initiative
 Ability to manage, prioritise and deliver workload to a high quality
Our Client delivers advice and technology-driven solutions that help organizations meet the health, wealth and career needs of a changing workforce. They have  more than 22,000 employees are based in 43 countries and the firm operates in over 130 countries. 

 

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

Business Advisory Compliance Officer, Commodities

Salary: £70,000 - £90,000 - London

This is a great opportunity for someone with great investigatory skills and an analytical ability.

Job description

To provide Compliance advice and guidance to the Commodities business and other relevant functions within the London offices of our Client on regulatory and compliance matters.

The Compliance Department deals with a wide range of products, markets, jurisdictions and regulatory issues on a day to day basis.

Key Responsibilities

• Provide advice, guidance and support to the Commodities business in complying with prevailing regulations and managing regulatory risk, global compliance standards and internal compliance policies and procedures.

• To monitor changing regulatory standard and business initiatives to ensure the effectiveness of the control framework.

• Provide advice on the implementation of new control frameworks and the enhancement of existing controls.

 

Preferred Qualifications and Experience

• Degree qualified/ professional qualification.

• Prior of working in a compliance advisory capacity within a commodities sales and trading environment.

• Experience of emerging markets compliance.

• Experience of interaction with regulators, exchanges and industry bodies.

Knowledge, technical skills and expertise

• Solid understanding of Commodities products and markets, and the associated regulatory frameworks.

• Good knowledge of the LME, CME, ICEFE and other commodity exchange rules and practices, across different product classes.

• Understanding of relevant FCA rules, including the Market Abuse regime and recent UK and EU regulatory developments (e.g. MiFID II, EBR, MAR etc.).

• Ability to analyse and interpret regulations and knowledge of upcoming regulatory developments impacting the commodities sector.

• Ability to identify and manage the regulatory risks associated with specific transactions and the business as a whole.

• An understanding of IT systems (e.g. electronic trading systems, BO systems) and processes employed in a front to back-office environment.

Personal attributes

• Strong communicator at all levels (internal and external)

• Sustained commitment to engagement and ownership

• Ability to deliver work under pressure

• High level of integrity

• Ability to work independently

• Ability to navigate complexity and ambiguity

• Flexible, adaptable, pro-active.

The role would suit someone who has:

• Strong stakeholder management skills

• Decision-making skills

• Presentation, communication and consultation skills

• Investigatory skills and analytical ability

• Change management skills

• Drafting and report writing skills

 

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

CAOO Risk & Data Analytics Officer

Salary: £120,000 plus - London

This role will help design, develop and lead a risk and data analytics team that supports the Client Asset Oversight Office and its future operations throughout the group. The small team that this role holder must lead and manage will also be required to manage and monitor the progress of whole of group improvements programs which include internal and external audits and compliance reviews.

 

Our Client's group of companies consists of regulated firms throughout the region. This role is located in the UK which is the regional hub and home to a US custody bank branch and an international broker-dealer with several branches.  The Office also covers the governance arrangements of a large European Bank headquartered in Dublin and will expand its governance responsibilities further in light of Brexit arrangements the firm is planning.

 

These firms and others throughout the region employ thousands of staff.  The size of ‘Client Assets’ held by these companies is one of the largest undertakings in the world. There have been significant changes to legislation and regulation in the field of client asset protection and the expectations on firms to comply without failure is high. The current regulations are considered an area of high specialism and their application across a comprehensive business is very broad.

 

Evidencing that appropriate systems and controls are in place and operating effectively is of critical importance to satisfy internal stakeholders (both governance bodies and accountable individuals), Compliance, Internal Audit as well as external auditors and regulators.

The Client Asset Oversight Office has designed, built and embedded a client asset risk evaluation tool to ensure consistency across their client asset holding businesses. Further developments of this model are required that increase automation and make fuller use of the data that the tool collates to provide predictive risk information.  

The small team is also tasked with identifying other opportunities to develop business insights that make the most effective use of the other information and data that this Office produces and routinely reports thereon. The Client Asset Oversight Office has designed, built and embedded a client asset risk evaluation tool to ensure consistency across their client asset holding businesses. Further developments of this model are required that increase automation and make fuller use of the data that the tool collates to provide predictive risk information.  

The CAOO processes a large amount of data from across the group and is looking to advance its capabilities by using the data is holds and reports for wider business benefits, such as proactive risk issue identification, trends and forecasting.  Overseeing group improvement programs and audits is another important area that this team must deliver.

Key Responsibilities:

 

  • Be a member of the senior leadership team of the CAOO and provide support to the EMEA CAO Officer as required.
  • If qualified to do so, alternate for the designated regulatory functions within the Office.
  • Manage and develop a small team of SMEs and analysts against specific team objectives and those of the wider group.
  • Create partnerships will relevant stakeholders across the group and ensure engagement with staff from the various business lines and infrastructure teams is productive in furthering the aims and ambitions of the group.
  • Be responsible for the quality, timeliness and accuracy of management information produced that is properly submitted to the Office
  • Support the EMEA and Legal Entity CAO Officers within the group produce accurate and timely data and information for the fulfillment of their regulatory obligations.
  • Lead and Direct the development of the CAOO’s risk tool so as to provide greater predictive information.
  • Work as a partner with and through Technology, Operational Risk and other stakeholders to progress a solution to automate the client asset risk evaluation tool
  • Lead the coordination for EMEA client asset protection external audits, manage each provider, engage the businesses and functions appropriately and ensure all the reviews and audits are delivered across the group, effectively.
  • Direct the project tracking of significant change programs that impact the work of the group and the EMEA client assets governance framework roll-out.

    Development Value:

  • The holder is expected to be an accomplished manager and leader and possess a degree of technical knowledge in the field of client asset regulations which will be applied and enhanced through closely working with the CASS subject matter experts (SMEs).
  • A unique opportunity to work across an unprecedented breadth of businesses and create a group-wide analytical framework in the field of client asset protection; with access to information about business practices, infrastructures, business models and systems in a world-leading bank.
  • The opportunity and platform from which to ‘be the best’ for our clients within this field of expertise.
  • The opportunity to develop pan-European knowledge in the risk and client assets areas.

    Knowledge/Experience:

     

  • Extensive experience in the field of financial services and/or banking
  • Extensive experience in information reporting
  • Relevant experience and applied knowledge in the UK’s (or equivalent) Client Asset Rules
  • Experience working with Technology to build and/or develop IT systems would be beneficial
  • Experience in either operational risk management, risk and control frameworks, internal controls from a risk, accountancy, auditing or CASS SME background

    Skills & Competencies:

     

  • Excellent written and oral communications skills, with a commanding and convincing delivery
  • Excellent stakeholder manager and collaborator with contemporaries and peers and possessing the ability to understand drivers and overcome barriers
  • Analytical (with data in particular) and the ability to comprehend complexity and engage strategically and with clarity
  • Knowledge of and experience in the field of risk management
  • Proven, practical solutions-driven approach to problems

    Qualifications:

     

  • Educated to degree level or equivalent
  • Likely to have obtained post-graduate level of education, or experience that demonstrates this level of competence
  • Is probably a member of one or more professional bodies (e.g. risk, legal, accountancy)
  • Exceptional candidates without these qualifications will be considered

 

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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