Regulatory Controls Implementation Specialist
Rate: | Fixed-Term Contract | Rate: £480 (Umbrella)
Key Responsibilities:
* Review, investigate, understand, and categorise exceptions and transactions evaluated by new systematic regulatory controls to identify opportunities for control enhancement, including automation initiatives.
* Develop training materials and documentation, including desktop procedures, to support the transition of new control frameworks to the business-as-usual (BAU) team.
* Highlight thematic issues identified through review of exceptions and data issues to control owners, identifying opportunities to refine controls and reduce false positives.
* Write requirements for technology enhancements to improve control efficacy and collaborate with tech teams to implement, test, and deliver changes.
* Present data on control outcomes to control leads in a clear and actionable manner.
* Assist in preparation of governance metrics and presentation decks.
Experience:
* Proven track record in delivering regulatory change within financial markets, leading or participating in multi-asset class and multi-jurisdictional initiatives such as Dodd-Frank, EMIR, MiFID II/R, UMR, or US Bank Regulations.
* Experience in designing, implementing, and running first line of defense (1LOD) regulatory controls with strong focus on documentation and record-keeping.
* Change-oriented mindset with experience in exploratory work, identifying opportunities to automate processes and achieve efficiencies.
* Hands-on experience in end-to-end execution, control design, and reporting for at least two asset classes within financial markets.
Skills and Competencies:
* Exceptional analytical and problem-solving skills with meticulous attention to detail.
* Strong interpersonal skills, including influencing and collaborating across trading, support, infrastructure, and control functions in multiple jurisdictions.
* Excellent verbal and written communication skills, able to communicate complex issues effectively to colleagues and stakeholders.
* Confident engagement with relevant stakeholders including trading teams, middle office, operations, technology teams, and risk & control functions.
* Strong presentation skills, including creating and delivering materials for senior stakeholders.
* Proficient in Microsoft Office, especially Excel and PowerPoint; adept at managing large datasets to draw conclusions, make recommendations, and follow through to delivery.
* Ability to independently draft SQL queries to extract and analyze data.