Description
Company Profile:
A leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
The EMEA Legal and Compliance Department ( EMEA LCD ) is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities and Equities), Investment Banking, Global Capital Markets, Research and Investment Management Businesses across the EMEA region.
Job overview:
The FCA expects to see separate and specific focus given to the management of conduct risk within regulated firms. It expects those firms to be able to identify, assess, monitor and mitigate conduct risks arising from its business, and the firm has created a framework designed to achieve this.
The role is for a temporary Analyst on the Conduct Risk Team within EMEA LCD. The focus of this role will be on supporting the Head of Conduct Risk Compliance and the wider Conduct Risk Team on the day to day management of conduct risk as well as providing a support function to the EMEA Conduct Risk Committee.
The EMEA Conduct Risk Committee reports directly to the EMEA Risk Committee and assists the Firm to identify, assess, monitor and mitigate conduct risk.
The role requires strong MS Excel and Powerpoint skills.
Principal duties:
(a) Supporting the Firm in managing its conduct risk:
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Providing general secretariat support to the EMEA Conduct Risk Committee;
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co-ordinating the agenda and papers for the Committee meetings, preparing minutes and tracking follow-up actions;
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assisting with preparation of periodic reports by the Committee to other committees including EMEA Risk Committee and other risk management fora; and
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helping to prepare responses to information requests and general or periodic updates to regulatory bodies (eg the FCA, the PRA, the OCC, the US Federal Reserve Bank).
(b) Designing and enhancing metrics to support Business Units and Infrastructure Functions in managing their conduct risk:
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liaising with internal stakeholders to identify and design appropriate metrics;
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producing metrics and quality checking metrics produced by third parties;
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liaising with internal stakeholders to respond to metrics related queries; and
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analysing metrics to identify themes/trends and reporting these to the EMEA Conduct Risk Committee.
(c) Supporting the Conduct Risk Team in the preparation of materials for conduct risk training and conduct risk related presentations, as required.
Reporting line:
The candidate will report into the EMEA Head of Conduct Risk Compliance.
Position requirements:
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Several years' work experience.
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Strong MS Excel and Powerpoint skills.
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Broad understanding of wholesale banking and/or wholesale financial services would be an advantage.
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Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing.
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Good analytical and numerical skills, able to learn new concepts. Experience of designing and producing risk management metrics would be an advantage.
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Ability to perform multiple tasks simultaneously, and prioritise accordingly
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Confidence to use own initiative and apply judgement.