Director: Front Office - Regulatory Risk & Controls

Wickham Partners Ltd
London, United Kingdom
£130k - £150k
06 May 2022
05 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Director: Front Office - Regulatory Risk & Controls

• Provide key business lead input and guidance to Sales & Trading (S&T) Businesses for all compliance and regulatory control requirements.

• Develop and maintain robust S&T Regulatory control processes, including enhancement of controls, development of reports to enhance monitoring and MI to ensure Sales & Trading Desk Heads have visibility of key regulatory controls (front to back) impacting their business.

• Primary first line support and input to all S&T regulatory requirements (new and existing) to ensure full implementation into first line governance processes and BAU. - participating in technical design, tracking, escalation and control requirements in S&T.

• Provide central contact point within S&T for regulatory escalations and initiatives, working with Support Functions as part of regulatory change initiatives as required

• Design and run first line Governance processes across key regulatory touchpoints, including S&T and E-trading initiatives. Ensure all governance and controls are in line with risk appetite.

• Review and assess key hand-offs with support functions from initial regulatory implementation to assessment of control data utilised by the Front Office. Provide input and direction where necessary.

• Lead the process of review and challenge for regulatory control MI to ensure an effective enhancement to governance and control oversight requirements for S&T Heads.

Front Office - Supervision and Controls oversight

• Pro-actively enhance and promote positive conduct and risk culture to promote accountability and responsibility across all of S&T.

• Represent S&T across all inter-divisional governance to achieve an informed, consistent and transparent approach to supervision and controls visible within the second and third lines

• Ensure that the S&T supervision and control frameworks incorporate the current S&T regulatory obligations to facilitate proper oversight and control testing

Functional / Technical Competencies:


• Ability to quickly understand the local nuances regarding systems and internal relationships between departments

• Detailed knowledge of international regulatory framework, including UK FCA, ESMA, CFTC, SEC

• Firm understanding of horizon scanning and key planned regulatory changes

• Pragmatic and practical approach to the implementation and application of regulations to the business

• Good knowledge of Industry standards

• Good knowledge of Sales and Trading Business practices

• Good knowledge of Derivative products and trade flows

• Previous experience of working in, or directly supporting, a Sales and Trading Business


• Knowledge of data aggregation and MI creation from low level data; trend analysis

• Compliance Advisory or Middle Office experience would be useful

• Experience as part of a FO regulatory implementation project.

• Front Office Supervision or Controls knowledge/experience useful

• Sales and Trading product exposure through previous roles (in Business or as part of a Business facing team)


• Excellent communication skills

• A proactive, motivated approach.

• The ability to operate with urgency and prioritise work accordingly

• A structured and logical approach to work

• Strong problem solving skills

• A creative and innovative approach to work

• Excellent interpersonal skills

• The ability to manage large workloads and tight deadlines

• Excellent attention to detail and accuracy

• A calm approach, with the ability to perform well in a pressurised environment

• Excellent Microsoft Office skills

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