Regulatory Controls Associate
4 weeks ago
Description:
•Identify and document the required controls in line with appropriate policies and procedures to meet regulatory requirements identified by Compliance.
•Design and draft library controls in line with the minimum bank standards defined in procedures.
•Engage key stakeholders including business lines, compliance, operations and other support and control functions as necessary in identifying and/or drafting new controls, and to agree, approve and confirm appropriateness of controls to meet requirements.
•Document the library control descriptions in the bank’s central system repository, mapped and aligned to the business for coverage, including completion of mandatory fields inclusive of control characteristics required by the system.
•Ensure all library controls are approved in the system by control owners as appropriate and confirmed all steps have been completed.
•Ensure all library controls are agreed and validated through Compliance challenge.
•Ensure agreement with Enterprise Compliance including amendments, further refinements to meet globally consistent standards and Extra- Territorial Requirements.
•Ensure all necessary due diligence is undertaken to support closure of audit action, to quality and standard.
•Provide periodic status updates on progress with MI to a high quality sufficient for reporting to necessary stakeholders and committees.
Skills, experience and capability:
•Knowledgeable with a good all-rounder understanding of regulations including but not limited to CASS, MIFID II, SFTR, SSR, GDPR and MAR, the ability to interpret regulation and be able to identify controls that are pragmatic and fit for purpose tailored to the bank’s requirements.
•Hands-on experience having implemented similar library control programmes.
•Ability to work collaboratively and closely with teams and all key stakeholders to drive through solutions.
•A self-starter, with the ability to plan, organise and manage deliverables to expectation, on time and quality under pressure and limited supervision
•Be confident with excel and Open pages
Skills:
controls risk and controls control library regulatory controls regulations mifid emir SFTR MAR SSR GDPRJob Title: Regulatory Controls Associate
Location: London, UK
Job Type: Contract
Trading as TEKsystems. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. 2876353. Allegis Group Limited operates as an Employment Business and Employment Agency as set out in the Conduct of Employment Agencies and Employment Businesses Regulations 2003. TEKsystems is a company within the Allegis Group network of companies (collectively referred to as "Allegis Group"). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands.
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