Associate - Regulatory Governance & Themes Job at Alter Domus (London)

Risk and Controls Oversight Senior Lead - Third party and LRR Risk

Location

United Kingdom , London; Northampton

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Good understanding of Retail Banking Customer Journeys to identify and manage associated risks and controls
Proven experience in data analytics, data science, and driving automation and digitization within Risk Management processes
End-to-end third-party lifecycle risk management: onboarding, due diligence, ongoing monitoring, exit
Supplier dependency & concentration risk management (critical vendors, single points of failure)
Outsourcing / material service provider risk management and compliance with regulatory expectations
Fourth-party risk visibility (sub-contracting chains, hidden exposures)
Third-party performance & control assurance (SLAs, control attestations, audits)
Alignment of controls to LRR obligations and regulatory standards, ensuring correct applicability across journeys in Customer & Digital
Understanding of new LRRs impacting the business, with ability to work closely with Regulatory Engagement teams to ensure compliance
Ability to balance risk management with business goals when defining Risk Appetite, and effectively influencing or negotiating with stakeholders on risk acceptance

Job Responsibility

Develop and assess risk appetite, lead conversations on risk acceptance, ensure controls are designed and assessed properly, resolving any gaps and improving the control environment
Ensure ongoing monitoring of controls to keep the business audit ready, embed active risk management culture, assessing new business activities and leveraging tools KRIs and risk dashboards
Stay on top of market trends and emerging risks, driving continuous education based on internal and external themes and lessons learnt
Ensure compliance with relevant laws and regulations, preparing and enhancing governance papers and reports
Identify opportunities for data led controls monitoring and automation of controls
Ensure compliance with RCSA, Issue management and Risk events management process in line with Operational Risk framework

Fulltime

Regulatory Oversight Vp

To provide oversight of prudential regulatory compliance across in relation to o...

Location

India , Pune

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Experience or understanding of self-attestation processes for regulatory compliance, including review and challenge of submissions to ensure alignment with regulatory requirements
Strong assertive communication skills, able to engage effectively with senior stakeholders, internal teams, and regulators to provide clarity and direction on regulatory topics
Familiarity with the regulatory permissions process, including applications, amendments, and managing ongoing compliance with granted permissions
Ability to handle regulatory articles and assist in ensuring alignment with requirements by managing necessary attestations
Implementation support of risk management policies, standards, procedures, and controls across the bank
Assessment and promotion of risk management awareness and risk controls and culture
Review, challenge and monitoring of the effectiveness of existing risk management practices and identifying areas for improvement
Identification of new and emerging risks, and assessing the likelihood and impact of identified risks, and recommending appropriate mitigation strategies
Management and operation of associated committees, forum and meetings
Maintenance of risk inventories and governance documentation.

Job Responsibility

Advising on Regulations
owning the interpretation of specific parts of the Prudential Rulebook, and escalation for queries relating to prudential regulatory compliance
Communication of key Regulatory themes to senior Risk management including (i) concerns raised by regulators, (ii) themes and areas of focus arising through meetings and communications
and (iii) guidance on regulator expectations
Management of internal governance for adherence to regulatory permissions through oversight of Risk owned Permissions and maintenance of a central Permissions library
Coordination, review and challenge of the Model and Rating System Applications/Notifications
Drives delivery of certain Risk-led regulatory deliverables, providing robust review and challenge of constituent parts provided by internal stakeholders
Provision of comprehensive, accurate and consistent information to Regulatory supervision teams, supporting Risk in providing transparent communication with regulators via face to face meetings, regulatory letters or applications
and tracking and delivering commitments to regulators.

Fulltime

Vice President - Client Tax Operations

Location

India , Chennai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Bachelor's degree in Accounting, Finance, Business, Information Systems, or a related field
7+ years of experience in tax operations, wealth management, financial services, or highly regulated environments
2–3+ years of people leadership experience, including managing senior specialists and/or managers
Deep subject‑matter expertise across IRS Chapters 3, 4, and 61
FATCA, CRS, CARF
W‑8 / W‑9 documentation
NRA and backup withholding
1099 and 1042‑S reporting
Demonstrated experience leading complex regulatory change, remediation, and transformation initiatives
Executive‑level communication skills with the ability to influence across Operations, Technology, Data, Risk, Compliance, Legal, and senior leadership

Job Responsibility

Serve as the primary tax SME for Citi Wealth, providing authoritative guidance across FATCA, CRS, CARF, IRS Chapters 3, 4, and 61, W‑8/W‑9 documentation, FATCA, NRA and backup withholding, and 1099/1042-S information reporting
Own Wealth‑specific tax interpretations and positions, ensuring consistency with enterprise standards while addressing Wealth client needs and risk tolerance
Act as a senior advisor to Wealth Client Services, Front Office partners, Legal, Risk and Compliance on client communications, disclosures, regulatory explanations, and sensitive tax‑related inquiries
Represent Citi Wealth in enterprise tax governance forums, regulatory discussions, and cross‑business working groups
Provide end-to-end strategic Wealth‑level oversight and governance across the full tax lifecycle for UHNW clients
Identify, analyze, and govern systemic tax exceptions and risk themes
Develop scalable business intelligence, analytics, and AI‑enabled strategies to proactively detect emerging issues
Ensure operational readiness and flawless delivery of cyclical tax events
Serve as a Wealth business escalation authority for complex client, operational, regulatory, and systemic tax issues
Design and oversee exception management and remediation strategies

Fulltime

Senior Associate, Finance Risk Management (Tech Risk)

Location

United States , McLean; Richmond

Salary:

111200.00 - 126900.00 USD / Year

Capital One

Expiration Date

Until further notice

Requirements

Bachelor's Degree or military experience
At least 1 year of experience in Financial Services, or Audit, or Risk Management, or a combination

Job Responsibility

Ensure the Finance organization’s adherence to internal policies and standards related to assigned risk programs with a strong focus on Technology and Cyber
Identify opportunities and collaborate within and beyond FRM to mature our technology risk/control practices and governance
Synthesize information from disparate sources in a manner that enables FRM to influence business, product, and tech leaders to make grounded, risk-based decisions - identify themes to support the risk story
Report on the health of programs assigned, ensuring sufficient awareness and transparency to leadership
Provide training and support to stakeholders as the subject matter expert within areas assigned
Champion ideas related to process automation and application of relevant/emerging technologies
Develop and maintain documentation to include procedures and presentation materials
Assist with the preparation and execution of audit and regulatory exams as they pertain to responsible areas

What we offer

performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
comprehensive, competitive, and inclusive set of health, financial and other benefits

Fulltime

Country Compliance Officer UAE - Director

The Citi Country Compliance Officer (CCCO) is responsible for overseeing the Com...

Location

United Arab Emirates , Dubai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Credibility as a subject matter expert and experience of dealing with issues that have a high impact at all levels of the organization
Experience of working with key country level regulators and industry associations
Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes
An ability to influence senior business leaders on all compliance risk-related matters affecting the business. The individual should have the ability to independently challenge, when needed, while at the same time being supportive and solution-based and not being perceived as obstructive
An ability to be hands on and in the trenches with the direct team, while also bringing a sense of strategic vision and a global sensibility to the function
Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders needs are met
Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to effectively communicate the strategic vision to various stakeholder groups
Effective negotiation skills, a proactive and no surprises approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management and influencing skills are essential
The ability to thrive and execute in a complex, highly matrixed, global environment
Fluency in English language required and local language proficiency

Job Responsibility

Key Activities Governance and Organization: Annual Country Compliance Plan: Preparing, obtaining approval and successfully completing an annual compliance risk management plan, in accordance with the global template and content and presentation requirements, setting out how compliance risk will be managed within the jurisdiction and its constituent parts, and the role to be played by ICRM in order to achieve the plan
Identification of the jurisdictional requirements, accountabilities and the process ownership and monitoring and testing ownership, as well as the determination of suitable staffing, hours required and secured budget in order to achieve the state of compliance within risk appetite will be set out in the plan, which will be reviewed quarterly with the jurisdictional CCC and ICRM, as well as any applicable legal entity, as well as where required by applicable regulatory agencies
State of Compliance Reporting: Preparing quarterly, in accordance with the approved global format, and in adherence to all established requirements for the State of Compliance reporting
Enhancing Governance: Providing a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across products, services, functions, legal entities, service centers and the jurisdiction as a whole
Timely reporting of significant local regulatory issues to local, overseas, regional, and global stakeholders
Maintaining on-going assessment and reporting of the State of Compliance through the relevant corporate governance committees such as country audit committee(s) and/or subsidiary board(s), country coordinating committee and business risk management committee, and other management
Stakeholder Support and Relationships: Developing senior management relationships, including with legal entity management focus, inclusive of non-executive directors (where they exist in the jurisdiction), and the CCO as well as product functional and entity/service center line management
Proactively anticipate and help the business and functions plan for changes in the compliance and regulatory environment in the country
Build and maintain strong relationships with other functional leads, including Legal, Risk Management, including Operational Risk Management, and Internal Audit to create a supportive and seamless compliance and ethical control culture and an appropriate conduct risk environment
Regulatory Management and Coordination: Supporting the Citi Country Officer (CCO) in the management and development of regulatory relationships

What we offer

Learn About Global Benefits

Fulltime

Regulatory Oversight VP

The role sits within the Risk Regulatory Oversight and Coordination team. The ai...

Location

United Kingdom , London

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Expert knowledge of counterparty credit risk models and risk management, including related prudential regulations, i.e. knowledge of PRA regulated institution with IMM model approval
Detailed experience in interpreting regulatory requirements, articulation of rule compliance and ability to review and challenge associated regulatory processes
Strong numerical skills and ability to clearly articulate technical subjects within counterparty credit risk
Delivery focused - highly organised and proactive individual with strong attention to detail and ability to manage multiple complex projects and deliver within tight timeframes

Job Responsibility

Advising on Regulations
owning the interpretation of specific parts of the Prudential Rulebook, and escalation for queries relating to prudential regulatory compliance
Communication of key Regulatory themes to senior Risk management
Management of internal governance for adherence to regulatory permissions through oversight of Risk owned Permissions and maintenance of a central Permissions library
Coordination, review and challenge of the Model and Rating System Applications/Notifications
Drives delivery of certain Risk-led regulatory deliverables, providing robust review and challenge of constituent parts provided by internal stakeholders
Provision of comprehensive, accurate and consistent information to Regulatory supervision teams, supporting Risk in providing transparent communication with regulators via face to face meetings, regulatory letters or applications
and tracking and delivering commitments to regulators

What we offer

Hybrid working
Wellness Suite including a well-equipped gym and exercise studios, and provides personal training sessions and massage therapy
Supporting active commuters (cycle hire and parking areas, showering and changing facilities)

Fulltime

Models and Methodologies Specialist

Join Barclays as a Models and Methodologies Specialist - Vice President. The Mod...

Location

India , Pune

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Strong blend of technical expertise and relevant experience in valuation function, risk management function, model validation function or trading role in a top tier investment bank
Direct involvement in the development and/or validation of valuation models/methodologies, such as model valuation adjustments and other fair value adjustments, Prudent Valuation Adjustments and IPV methodologies
Strong financial product knowledge and a track record in dealing with Traders and Front Office Quantitative Analysts on valuation-related issues
Strong interpersonal and communication skills
Should be able to articulate well and explain the various concepts clearly to different audiences
MSc and/or PhD in a technical area such as Mathematics, Statistics, Physics, Engineering, Quantitative Finance or a related technical field

Job Responsibility

Drive consistency across asset classes in what regards the validity and appropriateness of models, methodologies and their associated documentation
Supporting Finance teams in the identification of their inventory of quantitative and qualitative models and quantitative processes
Support the enhancement of models and methodologies to ensure ongoing compliance with the accounting standards and with the regulatory requirements, as well as in line with best market practices
Enhance the valuation control standards and ensure these are kept in line with the relevant regulatory requirements and the model governance standards
Engagement with the models owners such as Valuation Control (VC) and Front Office Quants teams, as required, to challenge and enhance valuation models/methodologies and its associated documentation
Perform the role of Subject Matter Experts (SMEs) in the model validation of Qualitative (valuation) models, in line with the firm’s model validation and approval framework, whilst collaborating with Model Risk Management, and provide assistance on the validation of Quantitative (valuation) models, when required
Collaborate with Model Risk Management to influence, support and enhance the firm’s model governance framework
Design and implementation of tools and processes that enable the ongoing, transparent monitoring of the appropriateness of models and methodologies, in collaboration with the model owners
Support responses to Regulatory feedback on the aforementioned themes and develop solutions/remediations when required

Fulltime

Models and Methodologies Specialist - Vice President

Join Barclays as a Models and Methodologies Specialist - Vice President. The Mod...

Location

India , Pune

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Strong blend of technical expertise and relevant experience in valuation function, risk management function, model validation function or trading role in a top tier investment bank
Direct involvement in the development and/or validation of valuation models/methodologies, such as model valuation adjustments and other fair value adjustments, Prudent Valuation Adjustments and IPV methodologies, among others
Strong financial product knowledge and a track record in dealing with Traders and Front Office Quantitative Analysts on valuation-related issues
Strong interpersonal and communication skills are important for the role, as well as being a team player and working collaboratively in a constructive environment
Should be able to articulate well and explain the various concepts clearly to different audiences, from senior management to technical experts, as required
The ideal candidate should have a MSc and/or PhD in a technical area such as Mathematics, Statistics, Physics, Engineering, Quantitative Finance or a related technical field.

Job Responsibility

Drive consistency across asset classes in what regards the validity and appropriateness of models, methodologies and their associated documentation
Supporting Finance teams in the identification of their inventory of quantitative and qualitative models and quantitative processes
Support the enhancement of models and methodologies to ensure ongoing compliance with the accounting standards and with the regulatory requirements, as well as in line with best market practices
Enhance the valuation control standards and ensure these are kept in line with the relevant regulatory requirements and the model governance standards
Engagement with the models owners such as Valuation Control (VC) and Front Office Quants teams, as required, to challenge and enhance valuation models/methodologies and its associated documentation
Perform the role of Subject Matter Experts (SMEs) in the model validation of Qualitative (valuation) models, in line with the firm’s model validation and approval framework, whilst collaborating with Model Risk Management, and provide assistance on the validation of Quantitative (valuation) models, when required
Collaborate with Model Risk Management to influence, support and enhance the firm’s model governance framework
Design and implementation of tools and processes that enable the ongoing, transparent monitoring of the appropriateness of models and methodologies, in collaboration with the model owners
Support responses to Regulatory feedback on the aforementioned themes and develop solutions/remediations when required.

What we offer

Hybrid working
Structured approach to hybrid working with fixed 'anchor' days
Supportive and inclusive culture and environment
Opportunities to innovate, collaborate, and deliver great outcomes
Welcoming and inclusive culture that supports you to bring your whole self to work
State-of-the-art technology hub with excellent facilities for work, socialising and leisure.

Fulltime

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Associate - Regulatory Governance & Themes

Job Description

Job Responsibility

Requirements

What we offer

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