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.