Head of Risk & Compliance
THE COMPANY:
Our client is a well known Stockbroker
THE RESPONSIBILITIES:
Understand the nature and context of the risks which the firm as a regulated bank and stockbroker faces;
Consider how these risks are currently controlled and makes recommendations for an appropriate control regime;
Ensure that all relevant risks are considered using a risk based methodology;
Ensure that all relevant risks have appropriate mitigating controls that are fit for purpose with regard to the firm’s organisational, customer and product risks;
Ensure that the scope of the risk monitoring and of the transversal controls performed by the Risk department incorporate:
- All operational risk;
- Due diligence upon the firm’s custodians, bankers, key technology providers, RSP’s, relevant group entities, and all other relevant third parties;
- Credit, counterparty, interest rate and market risk.
Develop an appropriate risk / compliance monitoring programme (in conjunction with the Compliance Manager);
Conduct due diligence visits and desk based analysis as necessary, on a risk based approach;
Oversight of the compliance and AML teams.
EXPERIENCE REQUIRED:
- Operational risk experience gained at either a stockbroking, broking or retail banking business
- Experience of developing risk frameworks
- Experience of advising the business on operational risk matters.
- Experience of dealing at Board level.
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