My client, a leading investment bank, is looking to hire on a fixed term contract a Risk & Control Lead for Regulatory Operations
Responsible for the global BAU controls governance on all regulatory reporting processes across FM Operations, facing off to global heads of FM COO, FM Operational Risk, FM Compliance and the regional and country heads of the relevant functions.
Production oversight and review for risk forums and committees throughout FM.
As the lead post-trade regulatory control owner within FM, define, establish and deliver through to conclusion actionable plans to achieve a high standard of control across global regulatory transaction reporting, recordkeeping and other in-scope regulatory processes/controls configured to mitigate risk of Regulatory Non-Compliance (one of the Bank’s top identified operational risks)
Responsible for global adherence to the control framework standard within Regulatory Operations and Country Operations processes that are in place to deliver post-trade regulatory compliance in that country
Coordination of RCA, RCR and remediation plans related to operational
Implementation of the new RCSA framework risk and audit
Driving process improvements to mitigate operational risks
Ownership of Operational Risk Framework and conducting regular reviews with regional operational heads to ensure appropriateness
Coordinating and responding to internal and external audits in partnership with regional operational heads
Implementation of the PWC process and controls review
Ownership of the PWC data review, meetings and challenge, as the reg ops lead.
As a senior member of the team, provide leadership, direction and act as an escalation point as needed (e.g. during major operational incidents)
Oversee best-in-class risk management practices including daily monitoring and management of Regulatory Operations processes
Evolve regulatory controls reporting and key metrics for stakeholders as required
Responsible for overseeing all internal audits globally within Regulatory Operations, the FM Compliance Verification Checks, Continuous Compliance Assurance Reviews and other reviews as they arise.
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