Front Office Risk and Control

  • £60,000 - 100,000 per annum
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Tradition
  • 20 Mar 18 2018-03-20

Tradition is currently seeking to appoint an experienced Front Office Risk & Control individual within their London office. This role will be situated on the Broking floor working on a variety of projects, reporting into the Head of Front Office Risk & Control.

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people.

Tradition’s goal is to provide superior client services. It believes its business success is a direct reflection of its employees and recruits. As such, teamwork, creativity, reliability and integrity are components of a work ethic taken very seriously since the company was founded in 1959.

Main responsibilities within the Front Office Risk & Control position include:

  • Front Office Controls Testing and Assessment of Controls
  • Front Office Supervision of business activities
  • Oversight of supervisory tools such as The Front Office Supervision Manual
  • Front Office Oversight and Supervision of conduct and behaviour
  • Assessing, monitoring and implementing the desired business Culture for the Tradition London Group
  • Culture Change projects
  • The design and implementation of Front Office Controls
  • The monitoring and surveillance of Front Office operated controls
  • Provide input and attend relevant Committee, Fora and Workshops
  • Management reporting that relates to the risk and control environment
  • Application of the Management strategy for Front Office Risk Management and Control
  • Understanding of the risks and the mitigating controls that operate within the Front Office
  • Understanding of the Compliance Policies that relate to the Front Office
  • Understanding of Conduct Risk and Conflicts of Interest Management
  • To perform any other duties as reasonably required

Key skills and experience required in this role

  • Literacy and numeracy skills
  • Strong communications skills 
  • Ability to understand and adhere to Tradition Group policies, handbooks, manuals and supervisory oversight requirements
  • To work within the standards and rules set by the law and regulations
  • Risk, Control and Supervision experience
  • Good knowledge of a wide range of financial markets products
  • Good knowledge of IDB businesses an advantage
  • Good knowledge within an Investment Banking related function an advantage
  • Experience working closely with Front Office staff

To be successful in this role you will have/be:

  • Confident communicator
  • High professional standards and ethical business values
  • Able to always act with care and integrity
  • Open to challenge and accountable
  • Honest in all situations
  • To prioritise in line with Management expectations
  • Fair to other staff and clients.
  • Approachable
  • Demonstrably trustworthy
  • Demonstrably accurate and efficient
  • Ability to design, create and offer solutions