Consultant at TotlRPO Solutions LLP
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Regulatory Compliance Role - Investment Banking (5-12 yrs)
Your main objectives will be to -
Support the governance, initiatives and engagements around the Regulatory landscape affecting the IB Business, including but not limited to -
- Assist in understanding & analyzing the impact of a diverse & evolving set of Regulations and Regulator expectations, both functional and jurisdictional, on the IB Business in conjunction with Compliance.
- Ensuring articulate communication of this analysis & resultant requirements to the IB Business through well-thought deep-dives & read-across
- Assist Team head in development of a robust network within the Industry for understanding & leveraging market perspectives on the Regulatory Landscape for consideration across the IB
- Develop trustworthy and reliable Subject Matter Expertise for senior stakeholders (within IB & Corporate Functions, LODs and multiple LEs), by maintaining an ongoing dialogue with them & seeking their engagement and views towards better Regulatory compliance & on key Regulatory projects
- One of the key points of contact for the IB Business to assist them in the implementation & tracking of key Regulatory projects ensuring delays are prevented or appropriately highlighted
- Support the IB Controls engagement on Regulatory reviews & examinations with adequate data, analysis, issue finalization and facilitate determination of valid & practical remediations with appropriate business buy-in.
As part of this role, you will work for the IB Controls & Regulatory COO portfolio. The following highlight some of the key attributes we are looking for:
- Significant experience within financial services or in an international investment bank.
- A strong background in Global Markets and Investment Banking products.
- A sharp understanding of Business risk, policy & processes, governance framework and need for controls
- Experience in surveillance & monitoring will be an asset
- Established Track record in understanding the Regulatory landscape across a number of jurisdictions impacting Investment Banks or similar institutions.
- Able to interpret regulations and the impact of the same for Investment banks and wealth management activities
- A good understanding of cross border activities and its implications to business is beneficial.
- Understanding of IB business & products with particular emphasis on E2E trading workflows including sales, execution right through to settlement.
- Experience in transaction monitoring would be helpful