global markets regulatory compliance director in london

04 February 2019
randstad financial & professional, randstad financial services
job type
£ 100,000 - £ 200,000 per year
apply now

financial services
sub specialism
job type
working hours
£ 100,000 - £ 200,000 per year
reference number
randstad financial & professional, randstad financial services
apply now

job description

Do you wish to take the next steps towards your Regulatory Compliance development at a Global Investment Bank? Are you a driven and enthusiastic individual with the ambition to succeed at the highest level?

We have an exciting opportunity to join a performance driven organisation that prides itself with integrity and originality. Located in the heart of the City, if you love working in an enthusiastic, energetic and innovative thinking environment, you'll feel right at home. With the office conveniently located minutes away from the station, you're in a perfect location for getting in and out of work.


* Will be part of a Global and Regional team that provides direction and support to the Global Markets Regulatory Compliance teams specific activities globally across Global Businesses, Global Functions, and jurisdictions within the second line of defence, in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and the company's Group Standards within Regulatory Compliance

* The role will undertake key regulatory programme activities as part of the Regulatory Compliance function and be responsible for leading the effort in London, while supporting and working with the Global Delivery Leads in London.

* Developing and tracking program and plans that clearly define the scope definition, work breakdown structure and scope change control processes. Establishing clear and achievable objectives, balances competing demands across all divisions for quality, scope, time and cost, and adapts specifications, plans and approaches to the different concerns and expectations of the various stakeholders.
* Conducting program risk management processes, establishing a risk management plan, implementing risk mitigation processes to avoid issues and perform ongoing risk management planning, identification, risk analysis, risk response planning and risk monitoring and control procedures.
* Plan, estimate, budget and control costs to ensure assigned programs or workstreams are completed within the approved timeline with minimal variance, using tools and reports to monitor and manage the program/project financial health.
* Apply knowledge, skills, tools and techniques to program and project activities to meet business objectives through the application and integration of project management processes of initiating, planning, executing, monitoring and controlling, and closing.

* Work with technical resources and collaborates with stakeholders to ensure the program and project deliverable meets the security and quality objectives for which it was undertaken through effective demonstration of key project management knowledge areas through all phases of the project.

* Responsible for coordinating the efforts of globally dispersed teams for all allocated workstreams, including meeting with leadership, reporting on status to the Global Delivery Leads, Steering Committees and Executive Committees, working to eliminate any barriers and ensuring that there is an environment of continuous progress.
* Ensure proactive approach is taken to identification of regulatory compliance risk within countries/ regions and potential impacts on the business in close cooperation with members of the regional/ country RC functions.
* Ensure timely flow of accurate Management Information from relevant stakeholders / teams
* Escalate project risks that may have implications on other Businesses and Functions globally.
* Provide wider support and work collaboratively with all members of the RC function.
* Establish, develop and maintain effective relationships with stakeholders both inside and outside of RC at a Global, Regional and Country level.
* Demonstrate active participation and good attendance in Committee meetings and business team meetings.
* Lead and encourage constructive cross-country and cross-business teamwork by demonstrating collaboration and matrix management in action and challenging actions and behaviours that are not consistent with the organisation's diversity policy and/or the best interests of the business and its customers.
* Work collaboratively across peer group and organisation. Collaborate and foster good relations with the business, Compliance teams and departments.
* Communicate a clear vision for the FRB/DPA Programme execution that is aligned to the overall Operational Risk Management Framework and Risk Assessment, Policies and Procedures.
* The jobholder is responsible for managing and mitigating operational risks in their day to day operations. In executing these responsibilities, the Group has adopted risk management and internal control structure referred to as the 'Three Lines of Defence'. The jobholder should ensure they understand their position within the Three Lines of Defence, and act accordingly in line with operational risk policy, escalating in a timely manner where they are unsure of actions required.
* The jobholder has responsibility for overseeing and ensuring that Operational risks are managed in accordance with the Group Standards Manual, Risk FIM, & relevant guidelines & standards. The jobholder should comply with the detailed expectations and responsibilities for their core role in operational risk management through ensuring all actions take account of operational risks, and through using the Operational Risk Management Framework appropriately to manage those risks.
* The jobholder will adhere to, and be able to demonstrate adherence to, internal controls and will implement the Group compliance policy by adhering to all relevant processes/procedures.


* Must have strong focus on internal and external customer requirements.
* Excellent collaboration, communication, and negotiation skills to effectively serve as a senior thought leader in the enterprise.
* Good eye for detail.
* In-depth knowledge of project office and project management function.
* Ability to network and influence others and work with senior stakeholders
* Must have appropriate interpersonal skills to be able to integrate into an existing close team and smoothly implement change. Ability to communicate effectively within the team.
* Ability to lead and be part of a team. Ability to act proactively and work unsupervised.
* Understanding of project management best practices/ methodologies/ project lifecycle
* The jobholder will adhere to, and be able to demonstrate adherence to, internal controls and will implement the Group compliance policy by adhering to all relevant processes/procedures.
* The term 'compliance' embraces all relevant financial services laws, rules and codes with which the business has to comply. This will be achieved by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators.
* The jobholder will ensure the fair treatment of our customers is at the heart of everything we do, both personally and as an organisation.

* Degree (or equivalent)
* Project Management accreditation preferable
* Broad financial services experience
* Strong analysis skills
* Good team management skills
* MS Suite (incl Project, Excel and SharePoint)
* Use of Project Portfolio Management tools (e.g. HP PPM, Clarity, Planview, JIRA, Agile Central etc)
* Solid knowledge of project management methodologies

If you're passionate about delivering high-quality Regulatory Compliance, no matter the obstacles then this is for you, don't hesitate, and apply today.

This role is open to receiving applications over the next two weeks. Within a week of the closing date, appropriate applicants will begin an interview process, after which shortlisted candidates will be invited to attend the final stage of the process.

If you have any queries or want to get in touch please call Alex on 02077866523.

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003


aml,budgeting,business analysis,cass,change management,client assets,client money,compliance,finance project management,financial analysis,fund administrator,fund manager,fund manager assistant,insurance brokerage,insurance risk management,investment research,investment sales,kyc,portfolio analyst,private wealth management,transfer agency

educational requirements