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The Divisional Control and Regulatory Office is a dedicated risk, control and regulatory oversight function with prime responsibility for managing and proactively mitigating risk across the full breadth of the COO organisation. We are looking for a candidate with previous experience in regulatory oversight, assurance, legal or risk and control roles with functional coverage within financial services, as well as experience in stakeholder management.
Collating and publishing updates on new and changing regulatory rules and regulations pertaining to the COO division as sourced from Second Line of Defence (2LoD) groups including Group Regulatory Affairs, Compliance Regulatory Change and from the market initiatives leads
Working with Legal and Compliance, determine the applicability of each new or changing regulation through an interpretation of requirements
Co-ordinating the output and co-ordinating, tracking and reporting the subsequent impacting assessment performed by COO
Creating and maintaining an inventory of the current rules and regulations affecting COO
Supporting the COO Executive Committee and Regulatory Leads in maintaining a forward looking horizon of new and changed regulation with high level interpretation and impacts
Maintaining an inventory of current rules impacting COO, tracking and reporting regulatory rule, risk and control assessment findings and remediation activities
Working with the DCRO risk and control assessment teams to advise on the regulatory aspects of assessments, quality assure results and support the risk based prioritisation of the book of work
Validating and challenging COO and Chief Information Office (CIO) line attestations for regulatory adherence
Ensuring the accurate and complete maintenance of the COO inventory of regulatory reports , conducting report rule and risk assessments and supporting annual certification with the COO line
Skills and Qualifications:
Previous experience in regulatory oversight, assurance, legal or risk & control roles with functional coverage within financial services
Established in regulatory interpretation with a history of working with key stakeholders in the 1st and 2nd lines to understand and practically translate the implications of rules in a banking environment
A basic understanding of transaction reporting requirements of the Markets in Financial Instruments Directive (MiFID2), European Market Infrastructure Regulation (EMIR) and Bank of England reporting requirements beneficial
A proficient understanding of the product types and characteristics traded by the business divisions
Previous experience in stakeholder management
Demonstrable analytical and data interpretation skills with an appetite for creative problem resolution and gap analysis
Educated to Bachelor degree level or equivalent qualifications
If you are interested in applying for this position, please email your CV to Abbie.Samson@radleyjames.com