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Regulatory Compliance Controller - Investment Banking

Eingestellt von Hyphen

Gesuchte Skills: Controller, Support

Projektbeschreibung

REGULATORY COMPLIANCE CONTROLLER - INVESTMENT BANKING

6 months - Canary Wharf

RESPONSIBILITIES
* Setting up the self-assessment templates including identifying the relevant rules for a legal entities in scope, categories of compliance, reporting date, and primary owners.
* Coordinating the response to each rule with the primary owner, including collecting the response, assisting with drafting, providing quality assurance reviews of the response, reviewing all responses for internal consistency.
* Setting up Quality Assurance panels to review rules where CS is not fully compliant or where there are questions over rule interpretation and level of compliance. Taking minutes of QA panels, tracking actions, and checking that any revised responses address QA panel's actions.
* Providing Management Information to Team head and Senior Risk committees on overall completion of responses, current levels of compliance, remediation plans.
* Assisting Senior Management in CRO with their internal reviews of the responses, including putting together summary information packs that can be used for self-attestation by SIFs.
* Acting as the central point of contact with internal audit and external audit for any reviews that they perform on the self-assessment.
* In conjunction with other team members in Regulatory Coordination, answering queries on rules interpretation.
* Support Regulatory Compliance team head in project planning and resourcing.

SKILLS AND EXPERIENCE
* Proven financial sector experience, preferably in a risk management, internal audit, operational risk, legal and compliance role in an investment or large commercial bank, accountancy/consultancy firm or regulator
* Proven organisation and coordination skills in engaging SMEs, tracking progress and ensuring delivery.
* High attention to detail, legalistic mindset, excellent drafting and English comprehension skills.
* Ability to challenge quality/consistency of documents
* Ability to produce high quality, accurate work, under pressure and to tight deadlines
* Ability to communicate clearly and effectively, particularly across cultures and when working remotely
* Proven performance through high academic achievement
* Interest in and knowledge of the risk-related regulatory framework (Basel II, market risk, oprisk rules etc.)

Hy-phen Limited is acting as an Employment Business in relation to this vacancy.

The Adecco Group UK & Ireland is an Equal Opportunities Employer.

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

Hyphen