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
