Morgan McKinley is recruiting for a Business Risk & Control specialist
Business: Markets and Securities Services
Morgan McKinley is recruiting for a risk and controls specialist in order to support the ongoing development and implementation of MiFID II Investor Protection (Inducements and benefits; costs and charges) controls within the Front Office control framework. The incumbent will be responsible for the rollout of Front Office control frameworks covering MiFID II Investor Protection controls and business-as-usual (BAU) monitoring and oversight of Front Office MiFID II compliance. To include the investigation and business follow up of potential exceptions and violations. The Risk and Controls speicialist will be rewarded with a daily salary of up to £320.00.
- Rollout of tactical controls to comply with the bank's MiFID II Product Governance Framework.
- Implementation of MiFID II controls on Front Office Inducements and benefits received from or provided to third parties as a result of MSS transactions.
- Implementation of controls on the timeliness and accuracy of calculated Costs and Charges related to the investment or ancillary services provided to clients by the Front Office.
- Participation in the development and implementation of strategic solutions Product Governance controls and management of associated MCA controls.
- Creation of monthly metrics for distribution to Senior Managers.
- Ensuring that procedures, process notes and other documentation are current and up-to-date and applied adequately
- Assisting with audit inquiries and/or examinations.
- Engagement in additional work streams as required
Qualifications and skills:
- Undergraduate degree required.
- Experience in delivering change-related projects.
- Strong influence management and relationship skills.
- Leadership skills in bringing together processes that include different businesses, regions and support functions.
- Specific subject matter expertise in global markets traded products including downstream processing practices.
- Effective negotiation skills, a proactive and "no surprises" approach in communicating issues
- Experience in a Markets/ICG control related roles
- Demonstrated strong business maturity in past roles
- Excellent communicator - internal and external
- Global mind-set, with regional/product understanding
- Strong Financial skills, analytical skills, strategic planning and problem solving skills
- Advanced Excel and database management skills.
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.
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