Central Compliance - Conflict Management c£85k Central Compliance - Conflict Management c£85k …

Charles Levick
in London, England, United Kingdom
Permanent, Full time
Last application, 20 Aug 19
GBP80000.00 - GBP90000 per annum + bens + bonus
Charles Levick
in London, England, United Kingdom
Permanent, Full time
Last application, 20 Aug 19
GBP80000.00 - GBP90000 per annum + bens + bonus
Charles Levick
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.

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.

Experience:

  • 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.
Company Overview

Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.

A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.

We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.

Our business is devised of 5 core areas of specialisation:

  • Operations/Infrastructure
  • Compliance
  • Risk & Actuarial
  • Change, Transformation & Technology
  • Fintech
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