Regulatory Transaction Reporting Project Manager jobs at Bank Of America in United Kingdom, London

Role Description:

Responsible for assisting the Compliance and Operational Risk officer team to execute second line of defence compliance and operational risk oversight for a Front-Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.

Responsibilities:

• Review private side transactions and perform an assessment to understand potential impacts on the Watch List and/or Restricted List

• Review equity and fixed income Investment Research reports

• Review non-deal roadshows organised and/or hosted by BofA

• Pre-clear trade requests in restricted stocks, pre-clear large trade requests and perform firm holding checks.

• Review and update firm policies and procedures on Information Wall

• Manage the firm’s wall crossing processes and investigate where necessary.

• Contribute to global technology projects and other targeted assessments to improve processes and mitigate risk.

• Perform conflicts checks against the Watch List ahead of the business accepting certain new mandates.

• Point of Contact for Enterprise Information Wall (Policy and Standard) for all Vertical Lines of Business in region

• Monitoring firmwide Information Wall Designations

• Creation and Maintenance of Single Process Inventory Controls, Metrics, and Thresholds

• Monitor the firm’s Above the Wall and Permanent Insider List

• Preparing/Delivering annual ad-hoc and/or annual training related to Information Wall/MNPI Handling

What we are looking for:

• Demonstrable experience in Compliance / 2nd Line of Defence role

• Analytical and problem-solving skills.

• Ability to work under pressure.

• Ability to prioritise tasks effectively.

• Ability to challenge and appropriately assess risks.

Skills that will help:

• Understanding of US Securities Laws

• Understanding of UK and Irish Takeover Panels

• Previous experience of managing conflicts clearance

UK

• Private healthcare for you and your family plus an annual health screen to help you manage your physical wellness with the option to purchase a screen for your partner.

• Competitive pension plan, life assurance and group income protection cover if you become unable to work because of a disability or health reasons.

• 20 days of back-up childcare including access to school holiday clubs and 20 days of back-up adult care per annum

• The ability to change your core benefits as well as the option of selecting a variety of flexible benefits to suit your personal circumstances including access to a wellbeing account, travel insurance, critical illness etc.

• Access to an emotional wellbeing helpline, mental health first aiders and virtual GP services.

• Access to an Employee Assistance Program for confidential support and help for everyday matters.

• Ability to donate to charities of your choice directly through payroll and the bank will match your contribution.

• Opportunity to access our Arts & Culture corporate membership program and receive discounted entry to some of the UK’s most iconic cultural institutions and exhibitions.

• Opportunity to give back to your community, develop new skills and work with new groups of people by volunteering in your local community.

We strive to ensure that our recruitment processes are accessible for all candidates and encourage any candidates to tell us about any adjustment requirements.

Job Description:

London - UK

Job Title: Senior Technology Manager

Corporate Title: Director

The Equities Cash Technology team is a global team with a good presence in every region (AMRS, EMEA and APAC). We aim to maintain a global perspective while recognizing and responding to specific regional requirements that make each market unique.

Role Description:

This job is responsible for functionally leading a team. The team is working on number of algorithmic engines that support benchmark algos, smart order routing and internal crossing, serving the EMEA as well as global electronic business. Apart from a continuous stream of strategy container enhancements and regulatory requirements, the team is also working on number of framework related items. The underlying platform has been built on a Java framework with next generation low latency and high throughput at the heart of the application. There is a high degree of business and quants interaction.

The main responsibilities of this role include:

Delivery of key functional changes to the ETT strategy engines

• Delivery of core framework-level changes
• Interaction with quantitative trading group / quantitative traders to capture core requirements.
• Being involved with all aspects of the development lifecycle (gathering requirements, developing code, writing unit tests, reviewing patches, performing 2nd level support

The following skills are required:

• Excellent communication skills
• Demonstrated experience in developing modern systems using modern software development practices and an automation first mindset across the software development lifecycle, particularly around shift-left testing.
• In depth understanding of core Java API’s (collections, concurrency, NIO )
• Understand and have experience with multithreaded systems, working knowledge of the Java garbage collector, familiar with low latency I/O.
• Demonstrable experience of front office system design and architecture (algo trading plant and topology)
• Business Knowledge – Understanding of equities and/or derivatives markets.
• Understanding of benchmark algo and/or smart routing strategies (VWAP, TWAP, Arrival Price etc.)
• Understanding of and experience with design patterns (Observer, Factory, Singleton )
• Development practices - Should be able to use test focused development and be familiar with UML and OO design. Should have experience with Eclipse or IntelliJ, GIT, continuous build servers and Maven / Gradle.
• Should be able to work with and help more junior members
• Can demonstrate ability to work in a multi-faceted role (development with some testing, support, and analysis).

The ideal candidate will also have:

• Business Knowledge – Understanding of Futures, FX and/or FI.
• Experience working with agile methodologies.
• Knowledge of FIX (heart beating, login, sequence numbers, message types etc.)

Private healthcare for you and your family plus an annual health screen to help you manage your physical wellness with the option to purchase a screen for your partner

20 days of back-up childcare including access to school holiday clubs and 20 days of back-up adult care per annum

The ability to change your core benefits as well as the option of selecting a variety of flexible benefits to suit your personal circumstances including access to a wellbeing account, travel insurance, critical illness etc.

Access to an emotional wellbeing helpline, mental health first aiders and virtual GP services.

Access to an Employee Assistance Program for confidential support and help for everyday matters

Ability to donate to charities of your choice directly through payroll and the bank will match your contribution

Role Overview:

As an Audit Manager, you will lead and deliver risk-based audits with a primary focus on GBAM Finance and broader CFO processes. You will be responsible for producing high-quality audit work, identifying control gaps, and influencing management to strengthen the control environment. A key part of your role involves participation in the GBAM Finance Sarbanes-Oxley (SOX) controls testing program, which includes managing the testing of over 200 controls and maintaining effective communication with external auditors.

Responsibilities:

• Develop audit plans for GBAM Finance
• Participate in the annual GBAM Finance Sarbanes-Oxley (SOX) controls testing program
• Lead the planning and execution global and regional audits including risk identification, process documentation and control evaluation.
• Evaluate compliance with US/UK GAAP, IFRS and enterprise standards.
• Conduct root-cause analysis on issues.
• Draft high quality audit reports and present findings to senior stakeholders.
• Prepare clear, concise audit documentation and presentations summarising audit scope, testing strategies.
• Identify opportunities to incorporate automation into audit testing processes.
• Effectively manage multiple workstreams and adapt quickly to shifting priorities.
• Supervise and mentor more junior members of the GBAM Finance audit team, supporting their development and performance.
• Facilitate regular meetings and maintain strong working relationships with GBAM Finance and external auditors.

Required skills:

• Strong experience in finance, preferably product control, with prior audit experience preferable
• Strong working knowledge of US/UK GAAP and IFRS accounting standards.
• Proficiency in Microsoft Excel (advanced level).
• Familiarity with audit project management tools and data analytics platforms such as Alteryx or SQL (preferred).
• Excellent analytical and problem-solving skills.
• Strong organizational skills with the ability to manage multiple priorities and deliver results in a fast-paced environment.
• Good interpersonal skills and the ability to collaborate effectively across diverse teams.
• Team-oriented with a proactive, solution-focused mindset and strong risk awareness.
• Excellent communication skills, with the ability to present complex findings clearly to senior stakeholders.​

Required Qualifications

• Professional accounting qualification (CPA, ACA, ACCA, CIMA or equivalent).
• Bachelor or Masters degree in Finance, Accounting, Economics, Business, or a related discipline is preferred.

UK

• Private healthcare for you and your family plus an annual health screen to help you manage your physical wellness with the option to purchase a screen for your partner
• Competitive pension plan, life assurance and group income protection cover if you become unable to work as a result of a disability or health reasons
• 20 days of back-up childcare including access to school holiday clubs and 20 days of back-up adult care per annum
• The ability to change your core benefits as well as the option of selecting a variety of flexible benefits to suit your personal circumstances including access to a wellbeing account, travel insurance, critical illness etc.
• Access to an emotional wellbeing helpline, mental health first aiders and virtual GP services.
• Access to an Employee Assistance Program for confidential support and help for everyday matters
• Ability to donate to charities of your choice directly through payroll and the bank will match your contribution
• Opportunity to access our Arts & Culture corporate membership program and receive discounted entry to some of the UK’s most iconic cultural institutions and exhibitions.
• Opportunity to give back to your community, develop new skills and work with new groups of people by volunteering in your local community.

We strive to ensure that our recruitment processes are accessible for all candidates and encourage any candidates to tell us about any adjustment requirements.

CUSTOMER

• Manage a team of Risk professionals providing oversight and control related advisory services to Risk partners
• Provide guidance, leadership, coaching and development to ensure operational results andprofessional/personaldevelopment objectives are achieved
• Work with executive team, senior business management/ partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/ compliance issues
• Act as key liaison with partners and external groups and provide Risk subject matter expertise; partner, as necessary, effectively with key stakeholder groups such as Compliance, Legal, Audit, AML
• Coach to ensure functional/ operational problems are handled appropriately, and participate in the negotiation and resolution of complex and/or escalated issues, where necessary
• Lead and develop Risk enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD’s Risk Program
• Participate in / Manage global regulatory examinations and external / internal audits with respect to request for information
• Take corrective action and recommend or implement changes to procedures, as required

SHAREHOLDER

• Ensure team adheres to enterprise frameworks and methodologies related to overall business management activities
• Lead relationships with corporate and/or oversight functions to ensure alignment with enterprise and/or regulatory requirements
• Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assess potential impacts to the Bank
• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required
• Identify, mitigate and report on risk issues per enterprise policy / guidance and ensure appropriate escalation processes are followed
• Ensure business operations are in compliance with applicable internal and external requirements ( e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
• Lead relationships with business lines / corporate and/or oversight functions to ensure alignment with enterprise and/or regulatory requirements
• Lead or contribute to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Manage oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managed
• Oversee or lead the facilitation and/or implementation of action / remediation plans to address performance / risk / governance issues
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Responsible for management of the overall team providing both leadership and guidance
• Set targets and objectives for the team, and deliver results
• Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
• Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
• Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
• Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Lead and manage a sizeable team of professionals and overall operation of a diverse group in an area of moderate risk, complexity or scope, while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
• Ability to present and make recommendations to senior management and executives
• Ensure an integrated approach with other business areas, broader organization, and enterprise as appropriate
• Coordinates and prioritizes multiple initiatives and manages resource allocation
• Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
• Provides support and contributes to the overall discipline and strategy for respective areas
• Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
• Deep knowledge and understanding of businesses / technology, and organizational practices/ disciplines
• Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business
• Focus on short to medium-term issues (e.g. 6-12 months)
• Generally reports to a Senior Manager or executive role

EXPERIENCE & EDUCATION

• Undergraduate degree or technical certificate and/or
• 7+ years relevant experience

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

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Job Description:

Headquartered in Toronto, Canada, with more than 85,000 employees in offices around the world, The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD offers a full range of financial products and services more than 25 million customers worldwide through three key business lines:
• Canadian Retail including TD Canada Trust, Business Banking, TD Auto Finance (Canada), TD Wealth (Canada), TD Direct Investing and TD Insurance
• U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in TD Ameritrade
• Wholesale Banking including TD Securities

Department Overview

Job Description

The successful candidate will engage global clients in the Over-The-Counter (OTC) derivatives space to ensure regulatory compliance. The role requires the analysis and review of bank and client regulatory and legal trading documentation on a daily basis. The role will involve leading new regulatory strategic initiatives and implementation across clients and the Dealer in the region.

Principal Responsibilities
• Understand the current state of legislation, regulation, and guidance with respect to OTC derivative transactions globally including Canada, the US, the EU, the UK, Singapore. This candidate will be responsible for regulations in the region.
• Communicate OTC derivative regulatory requirements to clients and their legal representatives in a business-friendly manner in order to finalize regulatory documentation;
• Prepare and thoroughly review the necessary legal documentation requirements and disclosures to ensure the Dealer's regulatory obligations are met;
• Work with the trading desks to understand client needs and prioritize high value relationships;
• Ensure support is provided to trading desks in a timely manner across several time zones including UK, North America, Europe, and Asia;
• Explain the necessity and significance of OTC derivative regulations to internal and external stakeholders
• Develop a solid understanding of the Bank’s requirements in areas of global regulatory framework, credit and documentation;
• Review and analysis of new regulations impacting the Dealer, participate in working group for new strategic initiatives in regulatory documentation
• Review and analyze the Dealer's new and existing client base to ensure regulatory compliance on a day to day basis;
• Utilize technology to track and monitor workflow and updating databases with required information;
• Produce reports and status updates as required;
• Escalate issues proactively and in a timely manner;
• Be a reliable source of reference to internal business partners;

Job Requirements
• Law degree required
• Solid legal, trading documentation, capital markets experience or related experience.
• Understanding of Dodd-Frank, EMIR/UK EMIR and Canadian regulations in derivatives area and the global regulatory environment.
• The candidate for this position will enjoy working on documentation, be able to effectively apply legal and sound regulatory risk management principles.
• Excellent written and verbal communication skills.
• Self-motivated with the ability to work independently while understanding when to involve other team members as needed and to work effectively in a team environment.
• High degree of integrity and strong work ethic. Timely follow through on commitments. Promote best practices within department and execute assigned duties and enhance control over procedures.
• The candidate has the ability to work under tight deadlines and has the flexibility to support global time zones as required.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Department Overview

The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing operational audits within TD Securities in Europe/Asia Pacific, whilst also supporting the broader TDS Audit team globally as required.

CUSTOMER

• Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion
• Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly.
• Manage the ongoing audit communications process with the client during and subsequent to the audit.
• Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management.
• Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization.
• Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks.

SHAREHOLDER

• Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area.
• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritize and manage own workload to deliver quality results and meet assigned timelines.
• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate.
• Develop and deliver audit findings, presentations / communications to management or broader audience.
• Contribute to the analysis, due diligence, and implementation of initiatives within defined area ofresponsibility.

EMPLOYEE / TEAM

• Continuously enhance knowledge / expertise in own area Support a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensure timely communication of issues/ points of interest.
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency.
• Establish effective relationships across multiple businesses.
• Participate in knowledge transfer within the team and business units.
• Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.

BREADTH & DEPTH

• Work as an audit subject matter expert and may coach and educate others.
• Oversee and/or independently perform audits from end to end.
• May lead moderately complex audits and have responsibility for completion of the audit.
• Undertake and complete a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise.
• Ability to process and handle confidential information with discretion.
• Generally, reports to an Audit Group Manager or Senior Audit Group Manager role

EXPERIENCE & EDUCATION

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent
• Internal audit experience essential, although consideration will also be given to candidates with other relevant/exceptional experience.
• Relevant knowledge/experience of Capital Markets.
• Financial accounting designation (CA, CPA) or other relevant qualification, i.e., MBA, CFA;
• Degree educated.
• Relevant regulatory knowledge.
• Analytical skills in assessing risk, issues and critical thinking/challenging the status quo.
• Effective time management skills and ability to meet tight deadlines.
• Strong communication skills (oral and written).
• Strong interpersonal, organizational and relationship management skills.
• Ability to work independently and in teams, and to manage competing priorities.
• Participate in/actively support departmental initiatives.
• Demonstrate TD leadership core values.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.