Thematic Conduct Risk Assessment (1st Line Controls) Thematic Conduct Risk Assessment (1st Line  …

Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 28 Nov 21
Up to £75,000
Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 28 Nov 21
Up to £75,000
Posted by:
Lee Barnish • Recruiter
Posted by:
Lee Barnish
Recruiter
My client, a leading Global Investment Bank, are recruiting for a 'Thematic Conduct Risk Assessment, Senior Analyst ' (AVP) in London. This role will cover their Markets and Securities Services business.

This role is to perform planning, execution and reporting for thematic conduct risk assessments covering the Markets and Securities Services Trading and Sales businesses. 

 

Key responsibilities of the role are:

·         Support ongoing monitoring of the conduct risk profile of MSS Sales and Trading businesses

·         Executing thematic risk assessments, including risk identification, inherent risk assessment and control evaluation

·         Maintaining strong stakeholder relationships across Front Office, Independent Compliance Risk Management and Operational Risk

·         Providing robust challenge to stakeholders on conduct risks and related controls

·         Supporting stakeholders in determining necessary control remediation identified through thematic risk assessments

·         Provide advice on conduct risk and control matters to stakeholders across all three lines of defence

 

Knowledge, Experience & Skills:

·         Previous or current experience in an investment bank or Financial Services to an Investment Bank

·         Understanding of how market conduct risk behaviours could arise and what type of controls should be used to mitigate risks associated with trading and sales activities

·         Experience in assessing the design and effectiveness of controls.

·         Knowledge of industry wide regulatory actions and conduct risk remediation programmes preferred

·         Strong understanding of risk management practices, including inherent risk assessment, control evaluation and residual risk measurement

·         Experience delivering execution of complex projects to challenging timelines

·         Ability to deliver rigor and attention to detail in execution

·         Experience of developing and maintaining effective senior stakeholder relationships

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