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Business Risk Senior Consultant (Regulatory)

The team supports the trading and sales environment. The position is for a highly energized,
dynamic professional who is ready to join one of our clients who is a fast-paced, world leader
in the financial services industry. The successful candidate will work collaboratively with
Chief Administrative Officers, Markets Middle Office, Operations, Technology, Compliance,
Internal Audit, Financial Control and Legal Departments. They will work with senior business
and support staff to enhance knowledge and understanding of the product, regulatory
requirements and the related operational risks, controls and policy requirements.
Our roles demand technically skilled, collaborative team players, who are able to understand
and assimilate issues across different types of industries.
 Internal Audit
 Assurance
 Crisis Management
 Governance
 Enterprise Risk Management
 Change Risk and Programme Assurance
 Regulatory & Ethical Compliance
 Fraud Risk & Prevention
 Controls Advisory
 Responsible Business Advisory and Assurance
Key Responsibilities:
 Oversee daily regulatory reporting processes and compliance with internal or
regulatory initiatives.
 Defining data and functional requirements for financial calculations such as RWA ,
liquidity ration or equivalent
 Review, reconcile and document various exception reports.
 Validating calculation accuracy (data quality, functional testing, and policy review)
 Ability to handle both U.S. and European regulations
 Setting up regulatory reporting function (processes, controls, and governance)
 Support internal audit deliverable requests, control issue identification, escalation,
tracking, and reporting.
 Documentation, reporting and tracking of corrective action plan and operational risk
 Supporting the monitoring and reporting process
 Develop and maintain tracking metrics for management reporting, escalation and
 Maintain control documentation needed for the various internal, external and
regulatory reviews.

 Develop internal relationships and provide support for various Trading / Sales
Critical Success Factors:
 Establish trust and rapport with Trading and Sales Desks, Business Managers,
Compliance, Internal Audit, Financial Control, Middle Office, Operations, Technology
and Legal functions
 Develop a broad and detailed understanding of their Market’s business, culture, risk
and control framework, regulatory and technology environment.
 Understand and support key regulatory policy and control initiatives.
 Identify best practices, key control/governance policies, procedures and required
 Communication Skills – Excellent oral and written communications skills; Must be
articulate and persuasive.
 Strong documentation skills to ensure proper control/audit evidence.
 Ability to review a process and recommend ways to identify issues, improve quality,
controls, effectiveness and efficiency.
 Strong organisational leadership and influencing skills; Capable of prioritising and
multi-tasking in a dynamic environment.
 Teamwork – Must be able to work in a team environment, listen effectively and be
open to change and different ideas/viewpoints.
 Excellent problem solving and analytical skills.
 Excellent analytical skills – able to interpret complex information, processes, and
regulations and turn them into practical controls.
 Strong financial skills, analytical skills and strategic planning skills.
 Strong Desktop/PC skills which include working knowledge of MS suite of
applications, specifically Excel and PowerPoint.
 Experience with Microsoft Access databases, including design, developing queries,
reports and macros in a dynamic environment.
 Exposure to database and data warehouse applications a plus.
 Bachelor degree in Business Administration, Economics, Finance, Accounting,
Computer Science or equivalent
 Regulatory certifications are a plus

Job Type: Full-time

Location: London

Salary: £40,000.00 to £45,000.00 /year

If you think this role suits you, send your CV to careers@crossfieldsconsultants.com

Can’t find a suitable position? If you believe that you are so skilled that we need to create a role for you, then by all means, don't hold back! We would love to hear from you.

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