Senior Specialist, Regulatory Oversight Management
3 days ago
Regulatory Oversight Management IC3 Resides in the business and manages first line of defense regulatory oversight management efforts as they relate to regulatory and policy requirements. This role sits within the Clearance and Collateral Management (CCM)CASS oversight team, who work within the business to help ensure CASS compliance. The successful candidate will work with the CCM CASS Director, and specific responsibilities will vary across: Effecting oversight of CASS activities across the Line of Business'sfunctions based on the target operating model Maintaining the Line of Business documentation of CASS risks & controls and outsourcing, and developing action plans to address weaknesses / enhance where needed Assessing how the CASS rules apply to breaches,product / business changes and controls testing Conducting regular CASS governance forums, submissions and attestations Managing process enhancement / remediation actions, and information requests for reviews and audits Further responsibilities include: Thoroughknowledge of Financial Services rules and regulations. Demonstrated problem solving and analytical ability, and strong oral and written communication skills. Must have the ability to supervise small teams and projects and develop solutions for regulatory oversightmanagement issues. Analyzes existing legislation, regulatory announcements, and industry practices for first line of defense compliance requirements. Helps businesses develop procedures to meet compliance requirements. Implement project plans to ensure compliancewith laws, rules and regulations and manage risk. Provide guidance and training to entry-level employees. No direct reports: provides technical advice/guidance to less experienced team members. Contributes to the achievement of team objectives. Supports complexprojects and provides insight on interpretation of regulations. Skills & Requirements Bachelors degree or the equivalent combination of education and experience is required. Advanced/graduate degree preferred. 5-7 years of total work experience preferred.
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Regulatory Oversight Specialist
2 weeks ago
London, United Kingdom Northern Trust Corp. Full timeAbout Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring...
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Greater London, United Kingdom Barclays Full timeBBPLC COO Business Oversight Compliance Regulatory Reporting Specialist Join us as a key member of the BBPLC Chief Operating Office (COO) Business Oversight Compliance Team where you will provide day to day Compliance advisory services on regulatory reporting, primarily covering Barclays Large Shareholding and Position reporting including Short Selling and...
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Underwriting Oversight and Controls Manager
7 days ago
London, United Kingdom Talbot Underwriting Full timeJoin us as a Conduct Risk, Product and Regulatory Controls Specialist in our Underwriting Management team to make a bigger business impact with your skills and wider talents. At Talbot and AIG, we are reimagining the way we help customers to manage risk. Join us as a Conduct Risk, Product and Regulatory Controls Specialist to play your part in that...
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Distribution Oversight Sr. Specialist
5 days ago
London, United Kingdom MFS Investment Management Full timeAt MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. Because what we do matters - to us as valued professionals and to the millions...
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Specialist, Regulatory Oversight Management
5 days ago
London, United Kingdom eFinancial Careers Full time**Overview** Key responsibilities include: - Providing support to the IM business by monitoring IM's compliance with the Operational Risk Management and Compliance Frameworks and policies; communicating Risk & Compliance policy changes, Risk Management Platform functional changes and enhancementsand partnering with the IM Operational Risk and Compliance...
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Underwriting Oversight and Controls Manager
7 days ago
London, United Kingdom Talbot Underwriting Full timeJoin us as a Conduct Risk, Product and Regulatory Controls Specialist in our Underwriting Management team to make a bigger business impact with your skills and wider talents. At Talbot and AIG, we are reimagining the way we help customers to manage risk. Join us as a Conduct Risk, Product and Regulatory Controls Specialist to play your part in that...
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Underwriting Oversight and Controls Manager
7 days ago
London, United Kingdom Talbot Underwriting Full timeJoin us as a Conduct Risk, Product and Regulatory Controls Specialist in our Underwriting Management team to make a bigger business impact with your skills and wider talents. At Talbot and AIG, we are reimagining the way we help customers to manage risk. Join us as a Conduct Risk, Product and Regulatory Controls Specialist to play your part in that...
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Senior Regulatory Operations Specialist
1 week ago
London, United Kingdom CMC Markets Full timeCMC Markets is seeking a motivated Senior Specialist to support the Groups non-financial regulatory reporting obligations including MiFID EMIR ASIC and Canadian trade and transaction reporting. This role will involve the accurate and timely completion of reporting tasks supporting issue resolution and assisting with regulatory change initiatives. The...
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London, United Kingdom VRS Regulatory Full timeAn opportunity to join the Product Stewardship / Regulatory Compliance team at a global chemical business; you will ensure the compliance of globally sold, highly complex mixtures. Key duties will be SDS authoring, classifications, labelling, component compliance checks and providing regulatory advice to the technology, R&D, and customer service...
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Underwriting Oversight and Controls Manager
7 days ago
London, United Kingdom Talbot Underwriting Full timeJoin us as a Conduct Risk, Product and Regulatory Controls Specialist in our Underwriting Management team to make a bigger business impact with your skills and wider talents.At Talbot and AIG, we are reimagining the way we help customers to manage risk. Join us as a Conduct Risk, Product and Regulatory Controls Specialist to play your part in that...
