VP, Trade Floor Supervision (TFS) Business Unit Controls Officer (BUCO) & 1LOD Operational Risk VP, Trade Floor Supervision (TFS) Business Unit  …

Bruin Financial
in London, United Kingdom
Permanent, Full time
Last application, 22 Sep 20
Competitive
Bruin Financial
in London, United Kingdom
Permanent, Full time
Last application, 22 Sep 20
Competitive
Bruin Financial
Exciting hybrid role based in London with a reputable global bank.

Key responsibilities

 

  • Implementation of Regulatory Compliance Risk Assessment (RCRA) model to determine the inherent regulatory compliance risk and the residual risk of the legislation, regulations and guidelines as documented in the Regulatory Library

 

  • Execute the broad First Line Operational Risk mandate for Capital

 

  • Responsible for the design of 1LOD Monitoring & Testing (M&T) to assess the effectiveness of the regulatory compliance risk controls and mitigants in place.

 

  • Upon the identification of a compliance issue during either RCRA or M&T activities, the BUCO is responsible for Compliance Issue Management (CIM)

 

 

 

Skills/Experience Required

 

  • Minimum ten years of experience in financial services industry, with a strong understanding of key functions in a banking environment, i.e. Front Office, Operations, Risk and Compliance.

 

  • Strong knowledge of the regulatory and compliance requirements applicable to the activities undertaken by Global Markets in London.

 

  • Strong awareness of the control environment to manage and mitigate regulatory compliance risks.

 

  • Understanding of key end-to-end processes related to relevant Capital Markets businesses (e.g. execution of a trade, pre-trade checks), upstream and downstream systems, and corporate support areas (e.g. middle and back office operations, risk, finance).

 

  • Proficiency and knowledge of Operational Risk utilizing knowledge of Capital Markets businesses, recognizing existing controls and investigating opportunities to advance the control environment while instituting efficiencies
Company Overview

BRUIN Financial is an independent recruitment consultancy with an exclusive focus on the financial services sector.

BRUIN assists leading financial services professionals secure appointments from graduate level to C-suite positions on a permanent, temporary and interim basis. From our offices in London and Manchester, we provide coverage throughout the UK and mainland Europe.

We are preferred suppliers to the world’s leading financial services institutions who value our boutique approach and our Consultants’ in-depth industry knowledge of their specialisms.

These include:

Front & Middle Office; Compliance; Credit & Risk Management; Finance & Accountancy; Life, Pensions, Employee Benefits; Project & Change Management; Legal; Operations; Sales, Marketing & Distribution; Broking, Underwriting & Claims; Actuarial, and HR & Secretarial.

Our Consultants are some of the most experienced financial services recruiters in the UK, offering expert advice and insight into the current jobs market. Whether you are seeking a short term assignment that suits your availability or the next permanent step in your career, our Consultants are on hand to help you secure the role that matches your needs.

BRUIN has been recognised by a number of industry awards for our expertise in financial services recruitment and for our innovative diversity initiatives. As a business we are vocal champions for a diverse talent pipeline and are proud of the reputation we have built in this area.

BRUIN Financial recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination.


As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs.

We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry.

Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

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