Compliance Integration Manager is part of the team that are designing the new framework. This role will report into the Director of Service Design and the Director of Compliance.

Deliverables:

• Have accountability for the definition, translation and embedding of regulatory risk appetite and culture to the programme so that it can be applied to the design of processes and compliance management controls, including financial crime, information security and data protection with reference to subject matter experts within the business
• Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
• In conjunction with the provider, design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within regulatory and compliance risk appetite
• Provide requirements to the Risk Integration Manager to enable the testing of key controls
• Communicate the approach to the management of regulatory risk to the operational teams which will be overseeing the delivery of services with the provider during and post integration
• Maintain a detailed knowledge of the applicable regulatory requirements and compliance framework in order to lead and conclude design and option discussions concerning the development of the provider’s approach to compliance procedures and controls
• Identify and contribute to the workstream’s delivery risks
• Work closly with other second line functions in order to facilitiate the setting of appropriate compliance assurance plans.
• Design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within the risk appetite
• Design an approach to the oversight of the design and delivery of regulatory requirements that ensures all regulatory requirements are considered and covered.
• Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
• Execute the approach throughout the implementation phase so that the provider’s approach to the design of processes and controls is aligned to the firms requirements
• Provide regular summary papers to programme board on progress
• Design an escalation process for the resolution of annomollies and disputes regarding regulatory interpretation or application to be made within the programme, within the programme’s existing decision making processes; provide papers for governance and decision making for escalated topics
• Training for operational teams on the interpretation and application of the oversight framework during and post integration
• Input into the control validations of key processes carried out by the Risk Integration Manager and approve the provider’s documentation of control validation processes
• Provision of regulatory interpretation to the programme including, but not limited to the interpretation and resolution of pensions legislation including application of guidance, intrepretation of provisions and implementation of reporting and notification requirements.
• The role will spend time with the 2^nd line compliance assurance team to ensure consistency of style and approach and keep 2^nd compliance assurance team informed
• The role will involve working and collaborating with colleagues and third parties at a senior level
• The role will also interact with supplier compliance teams and wider programme
• The role requires that the individual be comfortable with working on their own and delivering work within specific deadlines.

Experience and technical skills:

• Experience of desiging framework for oversight of outsourced activities from a compliance perspective
• Significant track record of delivering pragmatic business focused advice in a large scale pension environment
• Technical expertise in relation to trust based defined contribution occupational pension schemes
• Significant experience of the legislative provisions of the automatic enrolment regime and their practical application
• Excellent knowledge and understanding of HMRC and TPR requirements, regulatory codes of practice and guidance
• Experience of delivering programmes and projects linked to process improvment
• Engage and influence at an executive and senior management level, manage stakeholders including negotiating and collaboration
• Ability to communicate concepts clearly and apply decisions into workable processes.

Qualifications:

• The following professional qualifications, or progress towards them, would be desirable:
• APMI, ACII or FIA
• Other pensions-related qualifications such as the PMI’s automatic enrolment or DC Governance qualifications would be useful
• Experience working in, or advising on, master trust pension schemes may would be useful.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Compliance Integration Manager is part of the team that are designing the new framework. This role will report into the Director of Service Design and the Director of Compliance.

Deliverables:

• Have accountability for the definition, translation and embedding of regulatory risk appetite and culture to the programme so that it can be applied to the design of processes and compliance management controls, including financial crime, information security and data protection with reference to subject matter experts within the business
• Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
• In conjunction with the provider, design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within regulatory and compliance risk appetite
• Provide requirements to the Risk Integration Manager to enable the testing of key controls
• Communicate the approach to the management of regulatory risk to the operational teams which will be overseeing the delivery of services with the provider during and post integration
• Maintain a detailed knowledge of the applicable regulatory requirements and compliance framework in order to lead and conclude design and option discussions concerning the development of the provider’s approach to compliance procedures and controls
• Identify and contribute to the workstream’s delivery risks
• Work closly with other second line functions in order to facilitiate the setting of appropriate compliance assurance plans.
• Design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within the risk appetite
• Design an approach to the oversight of the design and delivery of regulatory requirements that ensures all regulatory requirements are considered and covered.
• Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
• Execute the approach throughout the implementation phase so that the provider’s approach to the design of processes and controls is aligned to the firms requirements
• Provide regular summary papers to programme board on progress
• Design an escalation process for the resolution of annomollies and disputes regarding regulatory interpretation or application to be made within the programme, within the programme’s existing decision making processes; provide papers for governance and decision making for escalated topics
• Training for operational teams on the interpretation and application of the oversight framework during and post integration
• Input into the control validations of key processes carried out by the Risk Integration Manager and approve the provider’s documentation of control validation processes
• Provision of regulatory interpretation to the programme including, but not limited to the interpretation and resolution of pensions legislation including application of guidance, intrepretation of provisions and implementation of reporting and notification requirements.
• The role will spend time with the 2^nd line compliance assurance team to ensure consistency of style and approach and keep 2^nd compliance assurance team informed
• The role will involve working and collaborating with colleagues and third parties at a senior level
• The role will also interact with supplier compliance teams and wider programme
• The role requires that the individual be comfortable with working on their own and delivering work within specific deadlines.

Experience and technical skills:

• Experience of desiging framework for oversight of outsourced activities from a compliance perspective
• Significant track record of delivering pragmatic business focused advice in a large scale pension environment
• Technical expertise in relation to trust based defined contribution occupational pension schemes
• Significant experience of the legislative provisions of the automatic enrolment regime and their practical application
• Excellent knowledge and understanding of HMRC and TPR requirements, regulatory codes of practice and guidance
• Experience of delivering programmes and projects linked to process improvment
• Engage and influence at an executive and senior management level, manage stakeholders including negotiating and collaboration
• Ability to communicate concepts clearly and apply decisions into workable processes.

Qualifications:

• The following professional qualifications, or progress towards them, would be desirable:
• APMI, ACII or FIA
• Other pensions-related qualifications such as the PMI’s automatic enrolment or DC Governance qualifications would be useful
• Experience working in, or advising on, master trust pension schemes may would be useful.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Ibor Ops Project Lead

The Responsibilities

Strategy:

• To ensure the successful transition from Ibor to Risk free rates “RFR” for the Agency portfolio

Business:

• Work on the repapering of existing portfolio from Ibor to RFRs
• Develop model to support new RFR based deals
• Testing for new system functionality to support RFRs
• Work with broader industry to track market developments

Processes:

• Responsible for the implementation of support model for RFRs

Risk Management:

• Track progress of RFR roll out
• Monitor and quantify risk of transition
• Update Risk framework where required to accommodate additional risk from RFRs

Governance:

• Agency Workstream PSC

Regulatory & Business Conduct:

• Display exemplary conduct and live by the Group’s Values and Code of Conduct
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matter
• Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association (or equivalent)

Our Ideal Candidate

• Knowledge of Loans Market
• Understanding of Loans documentation
• Knowledge of market transition to RFRs
• Understanding of risk management required for Loans products
• Knowledge of the role and responsibilities of an Agent Bank
• Experience of a project-based role

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Senior Legal Counsel, Dispute Resolution for Investment Bank and multinational Banking organisation. The Senior Legal Counsel is positon for a individual with 6-10 years of experience in dispute resolution; with a strong academic background (UK Law degree 2.1 or higher (grade 4.5 and higher in EU scale). This is a Non People Leader position supporting the bank activities and action in dispute resolution.

The posiotion assuming active involvement in and leadership in the management of an assigned portfolio of legal disputes that have a significant impact upon the Group including:

(a) civil litigation and arbitration proceedings; and
(b) contentious regulatory, criminal and government enquiries, investigations and proceedings.

• Developing effective strategies on the conduct of such disputes, liaising with external legal counsel where appropriate and critically assessing advice received and implementing the agreed strategy
• Providing effective and regular advice and communication to key internal and external stakeholders regarding the agreed upon strategy and management of disputes.
• Providing training, advice and assistance on the implementation of best practice in relation to managing disputes
• Identifying legal risks relating to disputes and their outcomes globally and working with internal stakeholders to ensure the effective mitigation and management of such risks.
• Display exemplary conduct and live by the Group’s Values and Code of Conduct.Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the Bank.
• This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Have an awareness and understanding of the regulatory framework in which the Group operates, and the regulatory requirements and expectations relevant to the role.

QUALIFICATIONS: Training, licenses, memberships and certifications

• Qualified to practice as a solicitor or barrister in England & Wales and/or Hong Kong and/or Singapore and/or another common law jurisdiction and/or as an attorney qualified in New York
• Excellent analytical skills, to review the background facts and identify the key legal issues raised by disputes
• Sound judgment and problem-solving skills – leveraging a combination of technical, legal abilities and common sense to manage complex disputes
• Excellent attention to detail
• Strong case management and organisational skills, including disciplined approach towards timelines and tracking all steps required in order to implement the strategic approach
• Ability to assimilate large amount of information
• Excellent communication skills both written and verbal, with ability to communicate effectively with people at all levels and across all areas
• Must be prepared to travel from time to time
• Ability to work unsupervised with drive and self-motivation; ability to organise and prioritise proactively
• Business acumen (including ability to assess risk and appropriate levels of return), strong interpersonal skills and multicultural awareness and sensitivity.
• Understanding of the key features of relevant laws and regulations relevant to cases under management

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Programme Manager within Compliance Transformation (CT) to ensure effective and efficient definition, planning, management and execution of global change programmes related to financial crime risk, supporting the FCR business teams to meet its regulatory commitments. Financial crime risk covers key areas such as money laundering, sanctions and anti-bribery and corruption.

Role Context
The vision statement for Transformation is “To be the businesses’ primary change partner, support the implementation of the Group Strategy and make change a source of sustainable competitive advantage” Programme Managers manage a significant change programme. Programmes can typically be across more than one country, primarily impacting on a single business line or function and can be made up of projects to execute the change and may include sub-programmes to deliver specific outcomes. Programme Managers are required to lead the change initiative, take strategic decisions, operate at an executive level and manage global stakeholder and sponsor relationships. Programme governance must be established in line with Group transformation governance.

The jobholder will not be subject to close supervision, and will be expected to exercise independent initiative and judgement in proactively overcoming obstacles to success, dealing with uncertainty and changing circumstances, such as interdependencies, opportunities or risks. He / She will be expected to adopt an agile and flexible approach to work and an outstanding level of professionalism and conduct.

The jobholder will adopt the Group Compliance Policy by escalating any identified compliance risk in liaison with, Global Compliance Officer, Area Compliance Officer or Local Compliance Officer. The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply.
Programme Managers adhere to the Groups standard tools and methodologies:

• Global Transformation Programme Management Framework

• Global Transformation Project Management Framework and Agile ways of working
• Global Transformation Change and Implementation Management
• Global Transformation Initiation Framework
• Group Standard Business Case
• Global Transformation tools like Clarity & Open Workbench

Knowledge

• Excellent understanding of Global Transformation Business Transformation Frameworks, methodologies and best practice techniques
• A thorough understanding of the purpose, values, culture and fundamentals of the Global Transformation
• Outstanding understanding of Group structures, processes and objectives
• Strong understanding of banking and understanding of how change drives benefits for its customers and other stakeholders
• Very strong knowledge of the external environment – regulatory, political, competitors etc.

Qualifications and Accreditations
• Prince2 - Optional, Agile working expereince
• PMP training or Certification - Desirable
• Managing Successful Programmes (MSP) - Desirable
• Any relevant local banking qualifications such as ACIB (Associate of the Chartered Institute of Bankers)

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Legal Counsel for a middium size Bank with responsibilities including:

• To draft, review and approve banking facility agreements with emphasis on trade finance facilities
• To advise on legal risk deriving from either the documentation or transaction structure
• To draft template documentation for use by the Risk Administration team or Front Office
• To provide documentation guides and training on legal documentation and legal risk
• To review and negotiate IT software and maintenance agreements
• To review and negotiate other Vendor supply agreements
• To represent the Legal Department at cross departmental meetings and project groups
• To review policies and procedures and make recommendations
• To support the Company Secretarial function
• To provide advice on matters of English law to the Bank and the non-UK branches and subsidiaries, if requested
• To contribute to the efficient and effective provision of legal services to the Bank
• Comply with the FCA/PRA’s Individual Conduct Rules, as outlined below.

Skills/knowledge required:

• Knowledge of Trade Finance structures, including Letters of Credit, Import & Export Finance, Forfaiting
• Knowledge of UCP 600 and other relevant ICC publications
• Strong knowledge of LMA Documentation suite
• Knowledge of Risk Participations, both funded and unfunded
• Knowledge of Hedging and Treasury documentation – ISDA, GMRA
• Knowledge of Property Finance – Investment finance and property development finance
• Competence at drafting agreements without precedents
• Capable of utilising legal knowledge in one specialism in unfamiliar situations
• Capable of suggesting and agreeing alternative Legal solutions to presented structures
• Understanding of banking regulatory framework, particularly FCA customer rules
• Demonstrable experience in developing good relationships with Business teams
• Prepared to work across the spectrum of simple to complex documentation

Experience and qualifications required:

• Qualified English Solicitor (Circa 3-5 years PQE)
• Strong law firm training on both legal competencies and subject knowledge
• Capable of working with light supervision on Trade Finance Facility documentation
• Capable of working with little supervision on LMA Documentation
• Experience of EMEA finance markets

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Leading investment Bank is looking for a Interim Mat cover as a EMEA Loan Trading Documentation – Primary Loan Closer. The position will sit within a small London based team support the business.

Job Description

Wholesale Lending Services (WLS) services clients in Business Banking, Commercial Banking, Asset Management and the Corporate & Investment Bank.

EMEA Loan Trading Documentation – Primary Loan Closer

EMEA Loan Trading Documentation team is responsible for the settlement of all primary syndications across credit facilities where the Bank is either a MLA or fronting bank. The Loan closer will coordinate with internal stakeholders as well as external clients to de risk the Bank position as quickly as possible while providing a high quality service to all parties through the documentation process. The role is client facing, multi-faceted and deadline driven.

Primary responsibilities:

• Working in a very dynamic environment and partnering with the trading desk, external clients, legal counsel and operations to settle primary loan trades across EMEA and North America
• Reviewing and understanding syndicated credit agreements with specific focus on transfer mechanics
• Reviewing, negotiating and drafting LMA standard documents and other trade-related documents including assignment agreements and multilateral agreements
• Coordinating with internal and external legal counsel to agree to proposed changes to trade documents
• Acting as the first point for contact for external syndicate lenders and ensuring timely information flows
• Monitoring / tracking / reporting of all escalated issues using appropriate workflow tools
• Coordinating timely and precise trade settlement with various settlement groups across WLMO
• Creating and understanding key metrics reporting for front office teams; daily / weekly / monthly reporting of open / closed / new trade population
• Working on non-BAU projects and initiatives designed to improve automation and strengthen the team’s control environment

Qualifications

Requirements:

• 3+ years financial services experience with knowledge of syndicated loans preferred
• Knowledge of loan transfer documentation and loan settlements preferred but not essential
• Ability to manage multiple demands in a fast-changing environment
• Loan IQ knowledge is preferred
• Personal motivation and drive to deliver excellence and make a difference every day

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Leading Investment Bank have an exciting opportunity for an experienced lawyer to join the team on a temporary basis to support the Legal input required for IBOR transition. Teh Bank are currently preparing for the transition of IBOR benchmarks to alternative reference rates and there is increasing regulatory focus on this on a global scale. The EMEA region has established an IBORs transition programme as part of a global IBORs transition programme. The Legal department is integral to the programme. We are looking for a qualified lawyer with strong financial services and transaction background to support this Legal work-stream in EMEA.

In this role, the successful candidate will be responsible for Legal input into the EMEA IBOR Programme across the Bank and Securities business under a dual-hat arrangement. The role will include the following key areas of responsibility:

• Advise on the review and remediation of contracts referencing LIBOR.
• Advise on new RFRs and transactions adopting these rates
• Advise on legal and regulatory issues arising as a result of LIBOR transition.
• Supporting and advising on internal and external communications
• Identify and advise on legal and regulatory and market developments arising under IBOR transition and the impact on the Firm and international business.
• Liaising with the EMEA IBOR Programme and other stakeholders and ensuring completion of Legal deliverables to the IBOR Programme.
• Coordinating with coverage lawyers in EMEA Legal team and international Legal team.
• Providing updates and briefings for stakeholders including management

Skills:

Qualified as a solicitor with 5+ years PQE with demonstrable experience in regulation, regulatory change.

For more information please do get in touch.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.