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Based in London the placement will manage the London TTRO MIFID II, supporting the reporting for the IB and Wealth businesses, providing oversight on day to day controls and processes.
The main function of the role is the implementation of firm controls and exception management, supported by clear and concise daily metrics. Identification of process improvements across the team, actively seeking and exploring areas of improvement, either via automation, time saving exercises or enhanced control monitoring processes. Each improvement requires clear demonstration of benefit to the organisation.
Staff administration including performance appraisals, objective setting, individual 1-2-1 and team meetings
Monitoring and management of TTRO processes and controls. Exception resolution with the T+1 deadline for FCA Transaction reporting.
Regulatory issues to be understood and articulated clearly to senior management and Compliance. Issues to be managed to closure - either by IT fix, enhanced control or process improvement.
Accurate completion of daily control metrics to be collated and managed, with clear understanding of spikes, issues and risks, presenting findings and responding to audience questions in a timely manner.
Clear communication of detail in a structured, methodical format. Able to understand what is being asked and provide a qualitative, full and measured response appropriate to the audience. As a regulatory function the candidate will regularly need to engage with senior stakeholders as their main point of contact.
Required to go beyond the standard BAU, identify and take ownership of additional value-add tasks i.e. process improvement, control tightening, automation etc, quantified by time/headcount saved, cost/loss reduction etc across all reporting disciplines.
Regulatory understanding highly desirable as well as an ability to appreciate the wider impact of issues as they arise and take appropriate action. Must be highly risk aware.
If you feel you are suitable for this opportunity please apply or email Harrison on firstname.lastname@example.org.