File Review Team Member/Leader
Responsibilities:
- Review of Initial Reviewers’ review decisions with a particular focus on high risk areas (subjective) and written summary.
- Relay details of contentious cases to the File Review Team Leader, sufficient for escalation to the Operations Manager
- On-the-job training where required
- Identification of development needs in the team through monitoring of QC feedback, duration of case reviews etc
- Regular liaison with other Senior File Reviewers to ensure consistent approach to file review
Experience/Skills necessary:
- Detailed knowledge of derivatives/ investments and their use in banks as well as a thorough understanding of FSA COB rules
- TCF (Treating Customers Fairly)
- Can demonstrate a good understanding of the assessment process for SME Investment Derivatives and working knowledge of interest rate derivative transactions (desirable).
- Knowledge of good regulatory practices and quality assurance business review controls.
- Recent Derivative/ Loan/Insurance SWAPS in Investment Banking or Financial Services experience.
- Proven track record of Banking Compliance (Conduct) financial risk management or advisory and a thorough knowledge and ideally senior participation in S166 investigations.
For further details, please contact Joshua Serlin on 0203 589 9297 or email Joshua.serlin@jcwresourcing.com
JCW are operating as a recruitment agency for the purposes of this position.
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