Central Compliance - Conflict Management c£85k

Charles Levick
London, UK
26 Jul 2019
07 Aug 2019
Contract Type
Full Time
This opportunity is to oversee the controls on conflicts and market abuse, collation and analysis of Group compliance management information as well as the co-ordination of governance and change programmes and integration of new technology to enhance existing compliance processes across the group part of a global financial services firm.

Key Responsibilities:
  • Manage monthly Compliance management information reporting across the Group.
  • Review, challenge and feedback on the compliance reporting provided by each region across the Group, including setting follow up actions.
  • Facilitate reporting to Group management committees Oversight of Group regulatory interactions.
  • Coordination of the annual process to link risk, behaviour and employee remuneration across the Group.
  • Lead technological enhancements of the MI reporting process (including writing specifications for system development, user acceptance testing and users' training).
  • Participate in the Group Risk and Compliance Governance automation project.
  • Participate in the harmonisation project between Compliance and Operational Risk.
  • Participate in other projects to enhance and further develop existing compliance processes.
  • Oversight of the UK conflict management function.
  • Support to the Compliance Business Advisory leads and wider businesses where required.

  • Appropriate experience in group governance and reporting, gained in a compliance or COO function of a financial services institution.
  • Understanding of Operational Risk and risk assessments methodology is desirable.
  • Control Room / Conflict management experience.

Key Skills:
  • Methodical, structured and rigorous approach to delivery.
  • Ability to foster strong working relationships globally.
  • Strong written and oral communication skills.
  • Capable of problem-solving and acting independently.
  • Motivated, proactive.
  • Integrity, high sense of discretion and confidentiality.

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