Understanding the Regulatory and Business landscape. Influencing change. Helping our clients navigate through each new complexity. This is how we bring value to our clients every day. The world of Risk and Regulation is changing, join us on the journey and be part of creating a new and relevant Financial Services industry. We support our clients with managing non-financial risk. To continue to excel in this we are strengthening our Financial Services Risk & Regulation practice as our clients across Banking & Capital Markets continue to face new challenges given significant shifts in the regulatory and business environment. Our clients consist of large global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.
Business Resilience & Conduct
We are specifically looking for candidates to join our Business Resilience & Conduct Group. Our team are self-starting, agile and thrive on bringing past experiences to new and diverse challenges. They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to our clients in the capital markets area, primarily large global banks, on regulatory change and remediation, governance risk and controls as well as critical business change. These services can be in the form of regulatory/consulting advice, implementation support or controls review and recommend reports. We work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks. Below are some of the types of work you could be involved in:
Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
Supporting our clients with business change e.g. Brexit planning and support
Helping banks with their regulatory authorisation and licensing
3 yrs+ experience of working within established professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
A proven track record of successfully supporting work-streams within change/client engagements
Strong client relationship, stakeholder management and inter-personal skills, with a good track record of dealing with stakeholders
Good commercial awareness, sound reporting skills and the ability to work under your own initiative
Internal Number: 5480966
About Alexander Ash Consulting
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