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Uk Compliance and Operational Risk Specialist
3 weeks ago
**Job Title**:UK Compliance and Operational Risk Specialist (Advisory)
**LOB**:Global Risk / Global Compliance & Operational Risk
**Corporate Title**:AVP
**Location**:London
The UK Global Compliance and Operational Risk (“GCOR”) team are recruiting for a Compliance and Operational Risk Specialist to join the London office. This role will help with coverage of the FICC business line in the UK. We require an ambitious and tenacious individual to help provide GCOR coverage across these business lines.
**Overview of the Role**:
This individual will help to deliver the Compliance and Operational Risk programme through:
- Learning about some of the FICC business lines, products and trading practices.
- Building relationships with business personnel and support functions for these business lines.
- Reviewing escalations of potential market abuse, including the examination of escalated surveillance alerts and the investigation and preparation of STORs.
- Identifying emerging compliance and operational risks, assessing the second line of defence control environment and implementing / completing Monitoring and Testing.
- Reviewing new product requests, ongoing business initiatives and escalated transactions.
- Reviewing regulatory change initiatives and undertaking impact assessments of such changes, including the implementation of new or updated Compliance policies or hosting training sessions with the business.
- Considering operational risks for these business lines, including challenging operational loss events over USD100,000 and assisting with scenario analysis.
**The Team**:
The individual will join the UK GCOR team in London and be part of a team of knowledgeable industry practitioners. The overall team will consist of 13 team members and will work closely with our counterparts in other regions including Paris and New York.
**Bank of America**
Every day, across the globe, our employees bring a commitment to our purpose and to driving responsible growth by living our values: deliver together, act responsibly, realize the power of our people and trust the team. A key aspect of driving responsible growth is doing so in a sustainable manner, a critical pillar of which is being a great place to work for our teammates.
In line with these values, in EMEA we have 9 Employee Networks, a wide range of Sports & Social clubs, and other development and networking opportunities so that you can enjoy a range of experiences and connect with colleagues across the bank. We also offer exclusive discounts to some of the most iconic cultural experiences for you to enjoy in your spare time outside of work. Learn more about our benefits here.
Good conduct and sound judgment are crucial to our long-term success. It’s important that all employees in the organisation understand the expected standards of conduct and how we manage conduct risk. Individual accountability and an ownership mind-set are the cornerstones of our Code of Conduct and are at the heart of managing risk well.
As part of our standard hiring process to manage risk, please note background screening checks will be conducted on all hires before commencing employment.
**Job Band**:
H5
**Shift**:
**Hours Per Week**:
35
**Weekly Schedule**:
**Referral Bonus Amount**:
0
