Opportunity

Wholesale Control Office – Regulatory Control Team, VP, Banking – Global Markets

London, hybrid working

The Wholesale Control Office is a global team responsible for creating and maintaining the Front Office Supervision and the regulatory control frameworks for Global Markets and Investment Banking, and being the key operational risk and control function for Wholesale.

The role will be part of the Regulatory Control function within WCO, and will involve building and maintaining the regulatory control frameworks in Global Markets and Investment Banking for global regulations. The role will be based in London, and the individual will have a reporting line into the Head of the WCO Regulatory Control function in London.

Candidates will have a good understanding of the regulatory environment, including Dodd Frank, MiFID, EMIR, SMCR, as well as strong senior stakeholder management skills.

Role responsibilities include:

Support the development of the regulatory control framework by working closely with GM and other Corporate functions including Compliance, Legal and Operations
Project management defining, tracking and managing delivery of milestones within defined timelines, or timely escalation if delivery dates at risk for regulatory implementation
Reviewing regulatory requirements and designing and implementing controls, seeking appropriate SME input and management approval and signoff
Reviewing and understanding relevant MI, working with Business individuals to understand exceptions, escalating to GM Management and/or Compliance when necessary
Working closely with GM Control Office to identify opportunities to embed regulatory controls into supervision frameworks; provide input into supervision policies, guidelines, and handbook
Create presentations for GM Control Office to deliver to various GM committees and other senior management meetings
Facilitate meetings, including taking of minutes, recording any actions resulting from the meeting and tracking progress
Creation and maintenance of Global Markets policies and/or procedures
Creating and delivering training to Front Office on Wholesale owned regulations and controls

To enquire about this role, please tell us a bit more about yourself by answering the questions below.

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Please briefly tell us why you feel you are suited to this role

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Yes

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Opportunity

Wholesale Control Office – Regulatory Control Team, VP, Banking – Global Markets

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