Risk

Regulatory Risk Manager - DepositaryJoin my client, a leading Depositary business, as a Regulatory Risk Manager and play a key role in shaping regulatory strategies within the funds industry. This client-facing role will see you engaging with industry stakeholders, regulators, and senior leadership to drive governance standards and ensure compliance. Key Responsibilities:Enhance governance and regulatory oversight within the Depositary business using data-driven insights.Interpret regulations, provide strategic solutions to business queries, and manage regulatory risk.Proactively address regulatory changes, ensuring compliance while optimizing operational efficiency.Lead external engagements on regulatory matters, representing the firm in industry discussions.Oversee discretionary matters, including potential breaches, suspensions, and investigations in Luxembourg.Collaborate with internal teams to provide regulatory guidance, training, and policy implementation support.Develop and monitor key risk indicators (KRIs) and risk appetite statements (RAS) to enhance oversight.Prepare reports for senior committees and contribute to thought leadership initiatives in regulatory risk.What We’re Looking For:7–11 years of experience in regulatory risk, compliance, or depositary functions within the funds industry.Experience in Depositary is Essential.Strong expertise in collective investment schemes, Depositary bank responsibilities, and fund regulations.Excellent analytical and problem-solving skills, with the ability to provide practical regulatory solutions.Strong communication and stakeholder management skills, with the ability to engage both internally and externally.Ability to manage multiple priorities under pressure without compromising quality.This is an exciting opportunity to be at the forefront of regulatory change within a Depositary business, ensuring compliance while contributing to the strategic direction of the firm. If you’re ready to make an impact, we’d love to hear from you.

Incident Resolution Manager - Wealth Management - £75,000A leading UK wealth management firm is seeking a highly skilled and experienced Incident Resolution Lead to join their team. This firm is known for its strong client service, investment performance, and commitment to sustainability. With a strong local presence across the UK, the company is focused on providing high-quality financial planning advice and multi-asset investment services to both private clients and intermediaries.As a forward-thinking organization, the firm is setting ambitious sustainability goals, including achieving Net Zero by 2030. They are also committed to responsible investment, offering dedicated services for clients with values-based objectives.This company values diversity, ambition, and collaboration. They are offering a flexible and inclusive work environment where employees are required to be in the office three days a week, with the flexibility to work from home on the other two days.Role Overview:The Incident Resolution Lead will play a crucial role in ensuring disruptions to business operations within the front office are efficiently identified, documented, and resolved. This role will involve root cause analysis, the implementation of preventative measures, and ensuring optimal outcomes for both clients and internal stakeholders.Key Responsibilities:Incident Monitoring & Response:Respond to and manage incidents within the front office, ensuring timely and effective resolution of disruptions.Collaboration & Stakeholder Communication:Work closely with internal teams and stakeholders to manage and resolve incidents, providing regular updates and escalating when necessary.Incident Management Best Practices:Follow and enforce incident management procedures, ensuring compliance with internal policies and external standards.Root Cause Analysis & Process Improvement:Conduct post-incident reviews to identify root causes, implementing corrective actions to prevent future incidents.Ensure that incident resolutions meet service level agreements (SLAs) and quality standards.Documentation & Reporting:Ensure all incidents are properly documented, with actions taken and lessons learned clearly outlined.Produce performance reports to track metrics and trends, and present these findings to senior management.Training & Process Enhancement:Provide training to internal teams on incident management processes and tools.Identify opportunities to improve processes and implement best practices across the business.Skills & Experience:Experience:Proven experience in incident management or a similar risk-related role, ideally within the wealth or asset management sector.Industry Knowledge:Strong understanding of investment products, including ISAs, Offshore Bonds, personal pensions, and various asset types (e.g., equities, funds, investment trusts).Risk Management Tools:Familiarity with risk management tools such as RiskSmart, aCCelerate, Metricstream, or Archer.Problem-Solving & Analytical Skills:Ability to conduct thorough root cause analysis and implement effective risk mitigation strategies.Communication:Strong verbal and written communication skills to convey complex information effectively to stakeholders.Leadership Under Pressure:Ability to lead and motivate teams during high-pressure situations, ensuring effective incident resolution.Organizational Skills:Exceptional organizational and multi-tasking skills, with the ability to prioritize and manage multiple incidents.

Incident Resolution Manager - Wealth Management - £75,000A leading UK wealth management firm is seeking a highly skilled and experienced Incident Resolution Lead to join their team. This firm is known for its strong client service, investment performance, and commitment to sustainability. With a strong local presence across the UK, the company is focused on providing high-quality financial planning advice and multi-asset investment services to both private clients and intermediaries.As a forward-thinking organization, the firm is setting ambitious sustainability goals, including achieving Net Zero by 2030. They are also committed to responsible investment, offering dedicated services for clients with values-based objectives.This company values diversity, ambition, and collaboration. They are offering a flexible and inclusive work environment where employees are required to be in the office three days a week, with the flexibility to work from home on the other two days.Role Overview:The Incident Resolution Lead will play a crucial role in ensuring disruptions to business operations within the front office are efficiently identified, documented, and resolved. This role will involve root cause analysis, the implementation of preventative measures, and ensuring optimal outcomes for both clients and internal stakeholders.Key Responsibilities:Incident Monitoring & Response:Respond to and manage incidents within the front office, ensuring timely and effective resolution of disruptions.Collaboration & Stakeholder Communication:Work closely with internal teams and stakeholders to manage and resolve incidents, providing regular updates and escalating when necessary.Incident Management Best Practices:Follow and enforce incident management procedures, ensuring compliance with internal policies and external standards.Root Cause Analysis & Process Improvement:Conduct post-incident reviews to identify root causes, implementing corrective actions to prevent future incidents.Ensure that incident resolutions meet service level agreements (SLAs) and quality standards.Documentation & Reporting:Ensure all incidents are properly documented, with actions taken and lessons learned clearly outlined.Produce performance reports to track metrics and trends, and present these findings to senior management.Training & Process Enhancement:Provide training to internal teams on incident management processes and tools.Identify opportunities to improve processes and implement best practices across the business.Skills & Experience:Experience:Proven experience in incident management or a similar risk-related role, ideally within the wealth or asset management sector.Industry Knowledge:Strong understanding of investment products, including ISAs, Offshore Bonds, personal pensions, and various asset types (e.g., equities, funds, investment trusts).Risk Management Tools:Familiarity with risk management tools such as RiskSmart, aCCelerate, Metricstream, or Archer.Problem-Solving & Analytical Skills:Ability to conduct thorough root cause analysis and implement effective risk mitigation strategies.Communication:Strong verbal and written communication skills to convey complex information effectively to stakeholders.Leadership Under Pressure:Ability to lead and motivate teams during high-pressure situations, ensuring effective incident resolution.Organizational Skills:Exceptional organizational and multi-tasking skills, with the ability to prioritize and manage multiple incidents.

Risk Business Manager - £65,000-£70,000My client are looking to bring in a new risk business manager to support the business with first line risk measures. This is a newly created role within a Bank who have just been through a significant enhancement of the risk function, so its a great time to join!The Risk Support Partner shall develop and maintain a strong understanding of the Group, acting as a Risk Generalist within the First Line Risk (first line of defence).  The Risk Support Partner shall collaborate with Risk Owners and Risk Champions across the Group to support identification, root cause analysis and developing corrective action plans.  The Risk Support Partner will report to the Director of First Line Risk (to ensure independence to risk owners) but will be a member of the Senior Leadership Team(s) for the Business Line/Function in which they are aligned to ensure consistent advice. The Risk Support Partner will further act as a point of contact for the second line team and their duties shall include, but are not limited to:Risk Documentation•        Support consistency of risk identification for the business line/function in line with the rest of the Group.•        Support consistent ratings of risks against the risk matrix and risk appetite for the business line/function in line with the rest of the Group.•        Support consistent identification of risk events, ensuring root cause understood and documented, and any necessary corrective action plans.•        Manage the business line/function’s control testing plan.Provide expertise•        Define risks and controls against risk categories together with the business line/function•        Advise business line/function Senior Management on compliance with risk policies.•        Advise business line/function Senior Management of risks associated with certain decisions.•        Coordinate advice and activities from first line risk specialisms.•        Advise on transformation projects to ensure that any changes are reviewed to ensure that already defined risks within the business are not widened and ensure mitigating controls are designed as part of the project.Governance•        Provide risk expertise in all business line/function governance meetings.•        Coordinates relevant Management Information to enabled the business line/function to appropriately manage their risks.  STAKEHOLDERS AND WORKING RELATIONSHIPS Primary Internal Stakeholders & Relationships:·       First Line Risk Team: Complaints, Quality Assurance, Financial Crime, Operational Resilience, Third Party Risk.·       Second Line Risk Team: Enterprise Risk Team, Compliance, MLRO.·       Business line/Function: Senior Leadership, Executive, Junior Staff of relevant business line/function (Savings, Specialist Mortgages, Wholesale Finance, Development Finance, Technology, Finance or HR)    PROFESSIONAL EXPERIENCE AND ATTRIBUTES  Qualifications/Experience·       Demonstratable experience operating as a risk generalist with diverse experience in multiple risk areas.   ·       Strong understanding of banking operations, particularly in specialist lending, savings, IT and/or finance.·       Strong knowledge of FCA and PRA regulatory frameworks and requirements.·       Proven experience successfully operating and delivering within a busy, fast-paced environment, managing multiple priorities.Competencies & Attributes ·       Excellent facilitation, presentation and communication skills - both verbal and written - with experience of adapting style and approach to the audience and the message to be delivered.·       Strong stakeholder management skills with ability to challenge and influence to remediate control gaps and issues.·       Ability to collaborate effectively, persuade others and obtain management “buy-in” for constructive change. KEY BEHAVIOURS·       Collaborative – to act as coordinator to multiple teams,  ·       Commercially minded – able to balance risks against commercial benefits,·       Has integrity – focuses on doing the right thing for HTB and their customers,·       Motivated by challenge – enthusiastic to make a difference.

Senior Quantitative Analyst – Zurich or St. Gallen A top-tier banking group in Switzerland is looking for a passionate and driven Senior Quantitative Analyst to join their innovative Quantitative Research Team in Zurich or St. Gallen. This role offers the opportunity to work on cutting-edge models and contribute to the future of risk management. Responsibilities:Develop and enhance IRB credit risk models for PD and LGD estimation.Lead the development and validation of market risk models (e.g., structured product valuations, value-at-risk).Analyze large datasets to support model development and testing.Collaborate with teams to ensure model functionality and communicate results to stakeholders.Requirements:Degree in Mathematics, Statistics, Finance, or a related field. Knowledge of SQL, R, LaTeX, and Git is a plus.Strong experience in developing and validating IRB credit risk (PD, LGD) and market risk models.Excellent analytical, problem-solving, and communication skills.Proactive, team-oriented, with a strong affinity for quantitative methods.Proficiency in German is essential.This is a unique opportunity to make a significant impact in a forward-thinking team. Apply now.

Third Party Risk Monitoring Risk AnalystKey Responsibilities:• Monitor, evaluate, and report on third-party risk management activities to ensure risks are identified, assessed, and mitigated effectively.• Lead comprehensive assessments of third-party vendors to manage potential risks in both cyber and non-cyber areas.• Develop, implement, and maintain robust third-party risk monitoring processes, tools, and procedures.• Collaborate closely with business and technical teams to align risk mitigation strategies with business goals.• Track and report on the success of risk mitigation measures, providing regular updates to management.• Stay informed about current regulations, standards, and frameworks related to third-party and cyber risk management.• Enhance the Third-Party Risk Monitoring Program by offering insights and aligning with strategic objectives.• Manage the TP Risk Monitoring platform: triage vulnerability alerts, evaluate risks within the vendor portfolio, communicate effectively with vendors, and track remediation efforts.• Oversee zero-day events and breaches, assess potential impacts, collaborate on resolutions, and ensure remediation actions are completed promptly.• Regularly assess the vendor portfolio's hygiene, including residual risks, rating shifts, concentration risks, and fourth-party exposures.• Build strong relationships with internal SMEs and external vendors, fostering cooperation on identified risks.What You Need: Must-Have Qualifications:• At least 7 years of experience in Third-Party Risk Management, including methodologies, processes, regulatory guidance, and industry standards (e.g., ISO, NIST, PCI DSS, Privacy).• Minimum 5 years of practical experience with TP Risk Monitoring platforms, tools, and technologies in both cyber and non-cyber domains.• Proven expertise in leveraging technology for continuous risk monitoring.• Self-motivated and able to thrive independently and as part of a team.• Proactive and adaptable to a fast-paced, agile business and technical environment.• Demonstrated leadership experience, including mentoring junior staff.• Passion for third-party risk management and a willingness to continue learning.• Bachelor’s degree or equivalent professional experience. Preferred Certifications:• Certifications in Third-Party Risk Management, such as CRVPM, Shared Assessments CTPRP, and/or CTPRA.• Additional certifications in related risk disciplines like Information Security, Auditing, and Risk Management (e.g., CISM, CISSP, CRISC, CISA)

Broadgate are excited to be partnering with an International Bank who are looking for a number of Loan Workout Specialists from AVP - Director level.Job Title: Vice President, Loan Workout SpecialistLocation: New York, NYPosition Overview:The Vice President, Loan Workout Specialist, will be responsible for managing and resolving distressed loan portfolios, including non-performing loans and high-risk assets across various sectors. The successful candidate will leverage strong analytical, negotiation, and restructuring skills to maximise recoveries and minimise losses while maintaining strong relationships with clients, stakeholders, and internal teams.Key Responsibilities:Loan Workout Strategy & Execution: Lead and manage the restructuring, resolution, and workout of distressed loans and non-performing assets, including forbearance agreements, loan modifications, and other remedial actions.Risk Management: Identify, assess, and mitigate risks associated with loan portfolios, providing proactive solutions to limit potential losses.Stakeholder Management: Act as the primary point of contact for internal teams (e.g., risk, legal, credit, finance) and external stakeholders (e.g., borrowers, advisers, legal counsel) to ensure smooth execution of workouts and resolutions.Negotiation & Restructuring: Negotiate terms with borrowers, investors, and legal parties to reach agreements that balance the interests of both the bank and the client.Portfolio Management: Monitor and manage a diverse portfolio of distressed loans across multiple sectors, ensuring timely and effective resolutions that minimise credit risk exposure.Qualifications:Experience: 7+ years of experience in loan workouts, restructuring, or a related field, with a strong focus on distressed loan portfolios (we are not looking for candidates with predominantly commercial real estate experience.Education: A Bachelor's degree in Finance, Economics, Accounting, or a related field; an MBA or CFA is a plus.Industry Knowledge: Strong understanding of credit risk, loan documentation, workout strategies, bankruptcy law, and loan restructuring processes.

Risk Officer (1LOD)Location: Kings Hill, Kent - Hybrid (2 days in the office)This Bank is looking for a talented Risk Officer to join our Business Operations department.As a Risk Officer (1LOD), you will play an integral role in effectively managing risks and controls within the first line of defence. Your key responsibilities will include:Risk Management FrameworkRisk MI and ReportingStakeholder CollaborationIncident ManagementOperational Resilience TestingSelf-Assessment SupportExperience:Qualifications and Experience:Proven experience in 1LOD or 2LOD operational risk.A risk management qualification or a commitment to achieving one.Skills and Competencies:Strong understanding of evolving industry and regulatory changes.Passion for risk and compliance.Strong interpersonal skills and the ability to engage with multiple stakeholders.