FRB Consultant

London, South East England

The successful candidate will lead the activity to document how the bank is compliant.

This role will include reporting to the FRB Order Compliance Lead and leading the following activities:

  • Becoming deeply acquainted with the FRB Order, FRB Program and the control environment that has been put in place to support compliance with the sub-paragraph
  • Identifying the key stakeholders required to input into, review and sign off the sub-paragraph compliance document
  • Documenting the sub-paragraph compliance document and managing the review process with the identified stakeholders
  • Manage and obtain sign off for the sub-paragraph compliance document with senior stakeholders
  • Support Internal Audit with their validation of the document post submission of the signed off version to them
  • Regularly reporting progress of the above, including any challenges / issues, to the FRB Order Compliance Lead

Essential Experience:

  • Bachelor’s or equivalent University degree
  • Legal experience (experience in IB Front Office environment)
  • Excellent written skills and experience of drafting regulatory and Internal Audit-consumable documentation / policies and procedures
  • Good communication skills and ability to operate at multiple levels
  • Has experience of managing and working with senior stakeholders and ability to build strong relationships
  • Collaborative style with ability to quickly build trust and credibility
  • Strong delivery focus and attention to detail
  • IB Sales & Trading experience including an understanding of conflicts of interest, trading controls, control frameworks, risk management & regulatory demands

Essential Skills / Competencies

  • Confident and able to communicate at all levels
  • Able to multi-task and prioritize
  • A proactive, self-starter, who is can be relied upon to act on initiative
  • Manages to balance structure & best practice versus pragmatism
  • Strong commercial awareness
  • Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business activities associated with the role, specifically client Ban plc internal controls and compliance policies and manuals.