Our client a Tier one Financial based in the City is looking for an experienced and strongly process oriented individual with extensive governance and UK-specific compliance and regulation experience, to work with the local senior technology lead to ensure the regional technology obligations are met.
More Business focused than technical.
Will need to understand the Life Cycle of a Trade
The role covers the day to day, tactical and strategic operations to meet our client’s UK technology regulatory and compliance obligations. The scope covers all technology operations within our client’s Europe (London, Paris and Frankfurt) Offices.
You will undertake delegated actions on behalf of the local technology management as they pertain to audit, risk management, regulatory assessments and technology escalations; the latter could include support, IT infrastructure, development and facilities.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Vendor review process and supplier due diligence in conjunction with Info Sec
Working with Internal Audit to assist in reviews and action findings for UK technology organisation
Extensive interaction with internal Risk team on risk identification, acceptance, root cause analysis and remediation
Daily interaction with Compliance and ensuring the UK technology organisation is in adherence to local regulation
Represent technology end to end for annual MiFID self-assessment process
Provide technology representation for venues, Algo and technology governance committees
Defining, measuring and continuous improvement of KPIs between
Extensive and continuous interaction with Global Technology Heads, where Europe- specific action is required
Extensive experience operating in a highly regulated trading marketplace
Understanding of end-to-end trading operations within a broker environment
Experience in governance, compliance and risk frameworks
Able to communicate at all levels, not limited to: Operations, Info Sec, Technology, CEO/Board
Deep knowledge of MiFID, ESMA, and FCA regulations
Experience in chairing and participating in trade operations committees
Experience at a bank, hedge fund or buy-side
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