Risk & Control Analyst

Responsibilities

• Support the controls management and assurance program to demonstrate oversight and management of key controls. Develop new & enhance existing tools to demonstrate Controls oversight within the 1st Line of Defence.
• Ownership & maintenance of a comprehensive control's library reflecting all key controls. Establish a standard process for the definition, assessment, and comparison of each control across TP-ICAP.
• Working with Compliance & Group/Regional Risk Management, manage the 1LOD responsibilities relevant to the Operational Risk Framework.
• Planning, maintenance, and execution of the front office control attestation for respective coverage areas in accordance with policy.
• Control execution for Front Office and/or Business Control-related activities.
• Quality assurance & management of the loss event reporting in the 1st Line of Defence .
• Support the change management process for respective front office coverage areas.
• Maintenance and execution for respective first line control tests.
• Provide oversight and reporting into any policy breaches and assist in managing the firm's Culture & Conduct agenda.
• Policy compliance and testing.
• Governance & Supervision
• Random monthly personal account dealing review and matched principal oversight (via firm exposure).
• Prepare necessary materials for Global Head of Front Office Risk & Controls to present at regional governance forms (i.e., lessons learned, trend analysis, change management initiatives, control analysis, metric reporting, scenario analysis, stress testing, etc.)
• Assist Senior Managing Directors in trend analysis oversight (i.e., T&E, client activity, etc.) as needed.
• Provide support to Senior Manging Directors to discharge applicable remote office and/or branch supervisory activities acting in a delegate capacity as needed (i.e., completion of checklist and visit to offices)
• Change Management facilitation of new activities and initiatives.
• Market Risk Monitoring & Escalation
• Identify , investigate emerging risks
• The individual is required to take initiative, managing all aspects of their objectives and projects through to completion.
• The individual will also be required to promote the key message and mission statements of the Busin

Benefits

Additional Information

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform. The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world's most trusted, innovative, liquidity and data solutions specialist. Role Overview The Front Office Risk & Control team provides a central hub for key business analysis that demonstrates governance and oversight for all business / functional areas within TP ICAP. Key tasks and projects include measuring policy adherence, recommending operational efficiency protocols as well as tracking and implementing solutions. The role of the Risk & Control Analyst is to review and document all internal processes and controls to ensure adequate oversight & compliance of corporate policy within the 1st Line of Defence. The individual will need to adopt a structured and investigative approach to their workload and be able to present all information in a clear, comprehensive manner, both verbal and written. The individual will primarily work alongside TP ICAP's Senior Management (Business & Infrastructure Heads) to identify and document any gaps/enhancements in the current control environment. The analyst ensures that as risk appetite changes applicable controls and metrics within each business / function remain adequate. This analyst will help support the Front Office Risk & Control mandate and as such is required to act as the critical partner to embed risk management practices in the 1st Line. The role will initially be involved in delivering the revised Front Office Risk Management Framework (FORM) and the Conduct Framework during the initial and post-delivery be responsible for ensuring the frameworks are followed throughout the business.

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