Our Client:
We are working with a global Capital Markets business in their search for a Head of Financial Crime to join their London based team.
The successful individual will provide direct support & assistance to the MLRO, across a wide variety of activities.
Key Responsibilities:
- Lead a team of Financial Crime professionals on a day-to-day basis
- Deal with all Financial Crime areas: AML / CTF / ABC / Fraud / KYC / Sanctions
- Improve polices, frameworks and reporting for the division
- Work with the MLRO and represent Financial Crime with Exco
- Guide the team through a period of improvement and change
The Requirements:
- Previously DMLRO / Head of Financial Crime experience within a similar business
- Experience of Investment Banking / Broking / Capital Markets is essential
- Demonstrable people management experience
- Good knowledge of all applicable banking laws and regulations
- Ability to interact with C-suite on a regular basis
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Job Type: Full-time, Temp
Salary: Up to £75,00,000
Our Client:
We are working with a world-renowned Investment Bank, looking to add an AVP Risk Modeller to their London-based team.
Working within the EMEA Model Risk Management team, this role involves independently validating and quantifying model risk in the second line of defense.
The Requirements:
- Proficient in developing and/or validating valuation models.
- Responsible for maintaining control of the model register and relevant documents.
- Expertise in CVA and recent derivative issues.
- Skilled in managing model risks effectively.
- Advanced proficiency in Excel/VBA.
- Knowledgeable in risk measures like ES, VaR, and Stress Testing.
- Familiarity with derivatives and pricing of other financial instruments.
- Possess relevant programming skills (e.g., Python, Java, C#, C++).
- Competent in database management (SQL, etc.).
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Our Client:
We are working with one of the worlds leading Commodities Trading powerhouses in the search for a Credit Risk Analyst to join their London team.
The role will work as part of the Africa focused Oil and Gas desk and will require full analysis / due diligence of counterparts across the region (occasionally on site).
The Requirements:
- Degree qualified
- A demonstrable track record as a Credit Risk professional from a Commodities Trading firm, Oil Major or Bank
- Analysis of counterparts across Emerging Market countries is important
- Ability to speak with (and occasionally travel to) the Africa region
- Conduct full due diligence / analysis of the counterparts
- Experience of Trading agreements / documentation such as ISDA, L/C or Guarantees
Note: Sponsorship is not available for this position.
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Compliance Analyst – Market Abuse Surveillance Systems Ref:32279
Investment Bank
London
Fixed Term Contract – £65K
You will identify potential market misconduct and perform assurance testing with a particular focus on market abuse controls.
The role sits within the Compliance Function, which is part of the Risk and Compliance Department. You will report to the Surveillance Officer working with the compliance team, including the Head of Public Side Compliance.
Role Responsibilities:
- Understand the regulatory environment, values and abilities consistent with the FCA conduct rules.
- Carry out surveillance activities in relation to market misconduct.
- Reviewing transaction alerts generated by the Firm’s automated Surveillance System, LiquidMetrix, for suspected market abuse by clients and staff.
- Reviewing transaction alerts generated by the Firm’s internal proprietary systems for potential signs of money laundering or terrorist financing.
- Reviewing alerts of communications generated by Global Relay to look for potential market abuse, bribery and other risks by clients or staff.
- Reviewing suspicious transactions and order reports (“STORs”) submitted internally and externally related to potential market misconduct.
- Submitting STORs related to market abuse to the FCA and suspicious activity reports (“SARs”) related to money laundering and terrorist financing to the National Crime Agency.
- Assisting with internal audit queries related to surveillance activities and market abuse.
- Investigating and responding to regulators related to surveillance and market abuse queries.
Key Capabilities and Knowledge:
- Previous experience in operating market abuse surveillance systems related to Equities Trading is essential.
Salary: £55,000.00 – £95,000.00 per year (Depending on experience)
The Role:
We are working with a leading global Financial Services firm who are currently in search of Modelling / Quantitative professionals to assist with the IRB / IFRS9 requirements for their model suite. Responsibilities will include various tasks such as model development, monitoring, and calibration of IRB / IFRS9 models.
The Requirements:
- Strong academic background
- Familiarity with regulatory requirements for either IRB or IFRS9
- Extensive expertise in constructing credit risk models, incorporating estimation and validation techniques
- Proficiency in SAS, Python, and Excel preferred
Please note: Candidates must have the legal right to work in the UK without requiring visa sponsorship.
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
The Client:
We are working with a London based Broker in their search for a Financial Crime Associate
You will take part in reviewing and investigating of internal SARs & STOR and monitoring AML / MAR
The Role:
- You will prepare and review documentation of high-risk clients
- Take part in the Compliance Monitoring programme
- Make any escalations to the MLRO when required
- Assisting with regulatory matters which includes AML, MAR, MiFID II, SMCR
The Requirements:
- Experience working in a Brokerage environment
- Knowledge of FCA industry standards and regulations
- Experience in FCA reporting
- An understanding of Financial Crime matters such as ABC, Fraud, MAR, Sanctions, AML/CTF
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Senior Risk Analyst REF:32276
Investment Bank
London
As Senior Risk Analyst you will be focused on the operation of the risk framework, its associated processes and oversight of material risks faced by the firm. The role involves wide exposure to all areas of the firm, working with first-line teams, subject matter experts and management daily.
Risk & Compliance is responsible for providing second-line oversight and advice to the business. This includes all client-facing and functional departments, as well as all major change initiatives within the firm and wider Group and extends to all risk types faced by the firm. In doing so, Risk & Compliance provides essential advice and assurance to help ensure activities are managed in a way which is risk-aware and delivers on the needs of our clients and strategic objectives.
RESPONSIBILITIES:
- The day-to-day operation of second-line processes, and enforcement of policies to identify, assess, manage, monitor, and report on both financial and non-financial risks across the firm.
- Providing advice, oversight, and challenge to the business units on the management of the risk framework within their respective business areas, to promote effective systems and controls, including:
- Reporting of loss events
- Risk and control assessment (RCSA) including control testing
- Reporting non-compliance with the risk framework policies
- Thematic reviews
- Action management and tracking
- Escalating risk issues, including breaches of risk appetite and risk tolerance to the Enterprise Risk Manager and eventually to the CRO
- Analysing loss events and issues working closely with the 1st line and ensuring that actions have been identified to address any gaps identified and lessons learnt. Follow up with the business to ensure the actions are closed.
- Contribute to the identification and implementation of ways to mature the risk management frameworks within the firm, specifically, within the second line of defence.
- Undertaking regular and ad-hoc assessments, whenever required, providing recommendations for improved management of risks.
- Supporting in the preparation of regular reports and presentations for management, executive and Board level committees on risk profile and material risk issues
- Providing assistance and guidance to the wider risk and compliance team on the consistent application of the framework
- Maintaining risk procedures and providing support to the wider risk team and other functions on the elements of the risk framework
- Providing input to the review and development of firm-wide risk management policies, including the provision of training to first-line business units as required
- Responding to first-line queries on the application of risk management policies to their business units
- Working constructively with subject matter experts including the Compliance team to ensure all risks are effectively managed.
- Support in the extreme loss event scenario identification, assessment, and management, including engagement with the business experts for the ICARA.
- Actively promoting and contributing to the maintenance and development of a positive risk culture across the firm
- Have an understanding of the regulatory environment, and values and abilities consistent with the FCA conduct rules
Key Capabilities and Knowledge:
- Good understanding of the key risks to which an investment firm is exposed, particularly those arising from principal trading activities
- Good understanding of the general regulatory environment within the UK, in particular, those activities overseen by the FCA
Experience:
- Some experience of working with stakeholders of different types across an organisation, managing different opinions and conflicts.
- Experience in practical application of risk frameworks and management and processes within a fast-paced business environment
- Strong academic background, with an undergraduate degree of 2:1 or higher
- Risk, audit or accounting background preferred
Skills, Capabilities and Attributes:
- Ability to multi-task and perform administrative tasks.
- Ability to apply a logical/judgemental approach to the identification of risks and advise on pragmatic ways in which to manage risks.
- Solid analytical and problem-solving skills. Ability to analyse datasets using database and basic programming/scripting skills (e.g., Excel, VBA, python)
- Ability to use general Microsoft Office tools (Word, Excel, PowerPoint, PowerBI)
The Client:
We are working with a London based Broker in their search for Senior Compliance Associate
You will be required to monitor any regulatory developments, cover Compliance Monitoring and also taking part in areas of Financial Crime
The Role:
- Assist the SMF16 and 17
- Keep up-to-date with relevant laws and regulations
- Take part in Financial Crime related matters such as ABC, Fraud, Sanctions and AML
- Assist with MI and board reports
The Requirements:
- Previous experience working in a Brokerage environment
- Experience in both B2C and B2B
- Knowledge of FCA industry standards and regulations
- Experience working on Consumer Duty
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Our Client:
We are working with a fantastic Corporate & Investment Bank, who are looking to recruit an experienced Senior Credit professional at AVP or VP Level, within their London based team.
The role sits in the 2LOD Credit team and will prepare / review credit applications for a portfolio of vanilla Corporate and more Structured (e.g. Transportation, Construction, Structured Real Estate, Subscription Financing, etc) names.
The Requirements:
- Degree qualified
- A demonstrable track record as a Senior Credit professional
- Experience in both vanilla Corporates and more Structured Loans (Leverage Finance / LBO / transportation, Construction, Structured Real Estate, Subscription Financing)
- Cash flow modelling skills
Note: Sponsorship is not available for this position.
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
Our Client:
We are working with a world renowned Investment Bank, looking to add a 2nd line Credit Analyst / Credit Officer to their London team at Senior Analyst or AVP Level.
The role will work within a 2nd line Credit Risk team, reviewing Credit applications proposed by the front office.
Note: The allocated portfolio will be EMEA based Corporates, across Metals & Mining (but may also have exposure to Commodity Traders, Utilities and Oil & Gas)
The Requirements:
- Strong academic background
- Previous experience in Credit Analysis within an Investment Bank
- Large EMEA based Corporate Credit experience is essential
- Preferred coverage: Metals / Mining
- Good experience of working with front office revenue generators
We look forward to reading your CV and discussing with you soon
The Risk Partners. . . . Trusted Partners in Global Governance Recruitment
