Risk & Control Officer
3 weeks ago
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, and 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 clearly and comprehensively, both verbally and in writing.
The individual will primarily work alongside TP ICAP's Senior Management (Business & Infrastructure Heads) to identify and document any gaps or enhancements in the current control environment and mature the Conduct and Culture framework. The analyst ensures that as risk appetite changes, applicable controls and metrics within each business / function remain adequate.
This analyst will support the Front Office Risk & Control mandate and act as a critical partner to embed risk management practices in the 1st Line.
The role will initially involve delivering the revised Front Office Risk Management Framework (FORM) and the Conduct Framework, ensuring these frameworks are followed throughout the business.
Role Responsibilities:
- Leverage the risk management framework to enhance the 1st Line of Defence MI, demonstrating effectiveness through dashboards, reporting, and key operational risk management tools. Identify, track, and monitor actions related to control gaps and remediation.
- Assist Risk with maintaining a comprehensive controls library, identifying control gaps, and communicating rectification controls. Establish a standard process for control assessment and comparison across TP-ICAP.
- Work with Compliance & Group / Regional Risk Management to manage responsibilities related to the Operational Risk Framework, including planning, maintenance, and execution of control attestations. Support regional FORM lead in control execution and coordinate root-cause analysis of risk events, remedial actions, and reviews of desk mandates and IT tools.
Additional responsibilities include quality assurance of risk event reporting, control testing, oversight of policy breaches, supporting SMCR assessments, and contributing to governance and change management activities. The role also involves market risk monitoring, escalation, process improvement projects, and providing analysis and reporting on front office risks.
Experience / Competences:
- Strong relationship-building skills, both internally and externally.
- Ability to lead, influence, and negotiate with teams and senior management to drive change.
- Experience in auditing, risk management, control, or compliance testing preferred.
- Excellent organizational, communication, and attention to detail skills.
- Experience with Inter-Broker Dealers or Investment Banking, with knowledge of operational trade flows, Settlement, and Clearing, is advantageous.
- Background in control disciplines such as Accounting, Finance, Operations, Risk, or Audit.
- Proficiency in Microsoft Office and GRC systems.
- Minimum 2-3 years' experience with a Bachelor's Degree.
Job Band and Level: Professional, 5
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