Securities Services Compliance – Conduct and Operational Risk Management – Vice President

As a Securities Services Compliance in Vice President, the work centres on review and support the business in reviewing and updating policies and procedures in line with regulatory changes and industry best practices. It would suit someone who can bring strong professional approach to the role.

Where the work sits

Monitor and assess the effectiveness of new and existing risks, providing challenge and advice with regards improvements to the LOBs where necessary. Attend meetings (internal, preparatory and/or external) along with further sessions as required by regulators, auditors or relevant governance meetings to provide updates from a 2L.

How the role works day to day

Review and support the business in reviewing and updating policies and procedures in line with regulatory changes and industry best practices. Contribute to scheduled and ad-hoc reporting for senior management and regulatory bodies where required. Proactively engage the business on risk and control matters, highlighting concerns and driving discussions towards remediation.

What helps in this setting

Strong professional approach.

What needs to be in place

• Have relevant risk management, regulatory consulting, audit, regulatory, legal or controls experience.
• Demonstrable experience and understanding of the Securities Services business and their inherent risks.