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Thematic Risk Assessment Business Risk Senior Analyst - AVP

Job ID 20193080 Primary Location London, United Kingdom; Job Category Independent Compliance Risk Management
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Job Purpose

Markets Conduct Risk works with Markets and Securities Services (MSS) and functions including Compliance, Operational Risk and Internal Audit, to support identification, evaluation and management of conduct risks in MSS Trading and Sales businesses. The Conduct Risk Framework team is part of Markets Conduct Risk and maintains the framework used for identifying and assessing conducts risks and evaluating related controls, as well as performing thematic risk assessments and executing conduct control testing across MSS. The primary mission of the Conduct Risk Framework team is to facilitate senior management in identifying and measuring conduct risks, and evaluating and remediating related controls, thereby supporting responsible provision of financial services to clients and effective risk management for the firm. As part of the Conduct Risk Framework Team, the Thematic Risk Assessment team manages all aspects of planning, execution and reporting for a program of thematic conduct risk assessments covering MSS Trading and Sales businesses.

Key responsibilities:

This role is to perform planning, execution and reporting for thematic conduct risk assessments covering MSS Trading and Sales businesses.

Key responsibilities of the role are:

  • Support ongoing monitoring of the conduct risk profile of MSS Sales and Trading businesses
  • Executing thematic risk assessments, including risk identification, inherent risk assessment and control evaluation
  • Maintaining strong stakeholder relationships across Front Office, Independent Compliance Risk Management and Operational Risk
  • Providing robust challenge to stakeholders on conduct risks and related controls
  • Supporting stakeholders in determining necessary control remediation identified through thematic risk assessments
  • Provide advice on conduct risk and control matters to stakeholders across all three lines of defence

Knowledge, Experience & Skills:

  • Understanding of conduct risks, and related controls, associated with trading and sales activities
  • Previous experience in an Investment Banking envrionment
  • Knowledge of industry wide regulatory actions and conduct risk remediation programmes preferred
  • Strong understanding of risk management practices, including inherent risk assessment, control evaluation and residual risk measurement
  • Experience delivering execution of complex projects to challenging timelines
  • Ability to deliver rigor and attention to detail in execution
  • Experience of developing and maintaining effective senior stakeholder relationships
  • Deploying excellent verbal and written communication skills to support impactful communication with senior stakeholders 


College/university education preferred, but appropriate industry experience & exceptional delivery track record is as important.


Job Family Group:

Risk Management


Job Family:

Business Risk & Controls


Time Type:

Full time


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