Thematic Conduct Risk Assessment (1st Line Controls)

Eximius Finance
London, United Kingdom
Up to £75,000
23 Jul 2022
22 Aug 2022
Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
This role is to perform planning, execution and reporting for thematic conduct risk assessments covering the Markets and Securities Services Trading and Sales businesses.

Key responsibilities of the role are:

• Support ongoing monitoring of the conduct risk profile of MSS Sales and Trading businesses

• Executing thematic risk assessments, including risk identification, inherent risk assessment and control evaluation

• Maintaining strong stakeholder relationships across Front Office, Independent Compliance Risk Management and Operational Risk

• Providing robust challenge to stakeholders on conduct risks and related controls

• Supporting stakeholders in determining necessary control remediation identified through thematic risk assessments

• Provide advice on conduct risk and control matters to stakeholders across all three lines of defence

Knowledge, Experience & Skills:

• Previous or current experience in an investment bank or Financial Services to an Investment Bank

• Understanding of how market conduct risk behaviours could arise and what type of controls should be used to mitigate risks associated with trading and sales activities

• Experience in assessing the design and effectiveness of controls.

• Knowledge of industry wide regulatory actions and conduct risk remediation programmes preferred

• Strong understanding of risk management practices, including inherent risk assessment, control evaluation and residual risk measurement

• Experience delivering execution of complex projects to challenging timelines

• Ability to deliver rigor and attention to detail in execution

• Experience of developing and maintaining effective senior stakeholder relationships

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