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Supervisory, Risk and Controls Specialist

Employer
Harvey Nash
Location
London, United Kingdom
Salary
Competitive Salary
Closing date
Oct 2, 2020

View more

Job Role
Risk Manager
Sector
Finance
Contract Type
Permanent
Hours
Full Time

Supervisory, Risk and Controls Specialist

A Leading Financial services business are looking to hire an experienced Risk, Controls and Supervisory Specialist to assist senior level team members in their London based division.

18 Month Contract

£400-£500 a day PAYE/Umbrella

Key Areas of focus for the necessary individual;

  • Supervision and supervision controls exposure
  • Controls and Business management experience
  • Front office controls experience and supervision if possible - more from a business management standpoint
  • Being critical about the stability of the platform
  • Rolling out new controls - understanding inherent risk and all aspects of controls
  • Ideally between 4 to 10 years' experience.
  • Nice to have specific Supervision experience in a similar environment.

Job Purpose

The Business Control & Supervision team work with Markets and Securities Services Trading and Sales businesses and various functions including Legal, Compliance, Finance and O&T to identify, mobilize and execute the Controls required to response to regulatory driven requirements and reform across business lines, products and entities.

This role is to assist with the delivery of Supervisory Controls across MSS, this includes assisting with CAP remediation, oversight and project management, liaising closely with Conduct Risk Management and 1LOD/2LOD transaction monitoring and trade surveillance to ensure adequate and timely controls delivered to Supervisors.

In addition the hire will play a key role in helping to shape the supervisory framework and governance, including the newly created Supervisory committee, and helping with the production of related supervisory MI and control testing.

Key

responsibilities:

The following are some of the specific activities expected of this role:

  • Assisting with the design, implementation of enhancements to the Supervisory framework
  • Communications with key business counterparts to understand requirement and gain acceptance to Markets wide approaches and plans for changes to Supervisory principles and framework
  • Management of the successful delivery of change in line with overall programme objectives and timescales
  • Collaborate with other regional control contacts and risk control functions to build a programme consistent across regions and consistent across LOBs
  • Develop and implement mitigation strategies to address known gaps and deficiencies in an effective and timely manner
  • Provide input to the design, development, implementation, and maintenance of the overall risk management framework
  • Ensure activities are consistent with the business's risk frameworks, policies, and programmes and risk appetite framework.

Knowledge, Experience & Skills:

Sound understanding of markets products and working knowledge of infrastructure/ trade lifecycle across front office, middle office, back office and control functions

Able to demonstrate experience of:

  • Front office/Markets controls or track record of working in a control environment
  • Working on large change programs
  • Managing both project deliveries alongside BAU activities
  • Successful delivery of change requiring stakeholder engagement and coordination

Skills and Competencies - Must be able to demonstrate extensive experience of:

  • Knowledge across enterprise risk management framework, including risk identification, risk appetite and strategy, risk-related decisions, processes and controls, risk analytics and governance
  • Understanding risk management techniques across financial services industry, within Supervision beneficial
  • Self-motivated to deliver high quality documents
  • Good influencing, communication, interpersonal and organizational skills to mobilize and motivate delivery, with an ability to build relationships and interact effectively with stakeholders
  • Project management skills to drive alignment across stakeholder groups to develop and deliver sustainable Supervisory risk management solutions and controls

Strong analytical ability used to identify risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary.

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