GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...
GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...

GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...

London Full-Time 130000 - 190000 £ / year (est.) No home office possible
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At a Glance

  • Tasks: Lead a team to enhance risk management frameworks and monitor trading activities.
  • Company: Join a global financial services group revolutionising electronic brokerage and trading solutions.
  • Benefits: Enjoy a competitive salary, equity options, and hybrid working arrangements.
  • Why this job: Be part of a tech-driven company that prioritises proactive risk management and innovation.
  • Qualifications: 10+ years in risk management or compliance with experience in RegTech solutions required.
  • Other info: Role involves 4 days in the office for team collaboration.

The predicted salary is between 130000 - 190000 £ per year.

Job Description

GLOBAL RISK MANAGER – COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH DEVELOPMENT EXPERIENCE REQ’D

£150K – £180K + benefits & equity (Hybrid) London

Ref:4140G

We are recruiting for our client, a global financial services group who operate cutting-edge electronic brokerage, custody, and trading solutions for retail stockbrokers, neobanks and neobrokers worldwide. They are looking to recruit a forward-thinking Risk Manager to lead the design, implementation, and continuous enhancement of their client risk management framework covering client conduct risk, trade surveillance, transaction monitoring and AML related controls. Reporting directly to the UK CEO, duties will include:

  • Manage, mentor and lead the Global Risk Control Team of 6.
  • Design, document, and maintain a comprehensive global risk management framework aligned with best practice and regulatory requirements.
  • Establish guidelines for monitoring, escalation, and documentation and lead regular risk reviews and control assessments with business units.
  • Define requirements for tools that can proactively detect and block illegal or suspicious trading patterns (e.g., spoofing, layering, wash trades, cross-firm collusion, front-running).
  • Prioritise development of automated alerting, escalation, and intervention mechanisms.
  • Optimise the use of and integration of trade surveillance into Group systems and controls, providing governance oversight of the Internal Control team, and collaborate with other teams to implement enhanced due diligence & trading restrictions if needed
  • Champion next-generation tools including AI that use behavioural pattern recognition, incorporate client- and order-level context and intercept suspicious client trades before execution
  • Prepare and present regular risk reports and MI to senior management and the Board.

The ideal candidate will have at least 10 years experience in conduct risk management, trade surveillance or compliance within retail share broking or electronic trading firms with a deep understanding of retail trading risks & regulatory expectations.

You must also have experience of designing or implementing the Reg Tech solutions that detect and prevent illegal or abusive trading activities and be able to define needs for the developers as to system requirements, operational guidelines and actionable controls.

This is a fantastic opportunity to join a fast-growing technology-driven organisation, that constantly seeks to go beyond regulatory compliance to embed proactive, intelligent risk management systems across their operations. NB Role is 4d PW in office given interaction needed with team & rest of business.

So, if this roles sounds like the ideal next move and you are a forward-thinking, strategic and hands-on Senior Risk Manager with a strong analytical mindset, then please send your details to Gary Collins, at gary@symescollins.com (including email and contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH... employer: Compliance Recruitment Solutions

Join a dynamic global financial services group that champions innovation and excellence in risk management. With a strong focus on employee development, you will benefit from a collaborative work culture that encourages forward-thinking and the use of cutting-edge technology. Located in London, this role offers a competitive salary, equity options, and a hybrid working model, making it an ideal environment for professionals seeking meaningful and rewarding careers in compliance and trade surveillance.
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Contact Detail:

Compliance Recruitment Solutions Recruiting Team

StudySmarter Expert Advice 🤫

We think this is how you could land GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...

✨Tip Number 1

Network with professionals in the financial services sector, especially those involved in risk management and compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in trade surveillance and RegTech.

✨Tip Number 2

Familiarise yourself with the latest regulatory requirements and best practices in conduct risk management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.

✨Tip Number 3

Prepare to discuss specific examples of how you've successfully implemented risk management frameworks or RegTech solutions in previous roles. Highlight your analytical skills and ability to lead teams effectively, as these are crucial for the position.

✨Tip Number 4

Research the company’s current risk management practices and any recent news related to their operations. Tailoring your insights during discussions can show your genuine interest in the role and the organisation, making you a more appealing candidate.

We think you need these skills to ace GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...

Risk Management
Compliance Knowledge
Trade Surveillance Expertise
AML Regulations
RegTech Development Experience
Analytical Skills
Team Leadership
Documentation Skills
Monitoring and Escalation Procedures
Automated Alerting Systems
Behavioural Pattern Recognition
Client Conduct Risk Assessment
Transaction Monitoring
Communication Skills
Presentation Skills

Some tips for your application 🫡

Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and requirements of the Global Risk Manager position. Familiarise yourself with key terms like conduct risk management, trade surveillance, and RegTech solutions.

Tailor Your CV: Customise your CV to highlight relevant experience in compliance, trade surveillance, and risk management. Emphasise any leadership roles and specific achievements that align with the job description.

Craft a Compelling Cover Letter: Write a cover letter that showcases your analytical mindset and strategic thinking. Mention your experience with RegTech solutions and how you can contribute to enhancing the client risk management framework.

Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects attention to detail, which is crucial for a role in risk management.

How to prepare for a job interview at Compliance Recruitment Solutions

✨Understand the Regulatory Landscape

Familiarise yourself with the latest regulations and compliance requirements in the financial services sector. Being able to discuss how these impact risk management will show your depth of knowledge and readiness for the role.

✨Demonstrate Leadership Experience

Prepare examples of how you've successfully managed and mentored teams in previous roles. Highlight specific instances where your leadership directly contributed to improved risk management outcomes.

✨Showcase Technical Proficiency

Be ready to discuss your experience with RegTech solutions and how you've implemented them in past roles. Providing concrete examples of tools you've used or developed will demonstrate your technical expertise.

✨Prepare for Scenario-Based Questions

Anticipate questions that ask you to solve hypothetical risk management scenarios. Practising your thought process on how to handle issues like suspicious trading patterns will help you articulate your strategic thinking during the interview.

GLOBAL RISK MANAGER - COMPLIANCE OR TRADE SURVEILLANCE (RETAIL SHARE BROKING OR PWM) WITH REGTECH...
Compliance Recruitment Solutions

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