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Actively consider the inherent, material risks of the Private Bank in London.
Maintain advanced knowledge of the PvB Suitability Advisory and Assurance Procedure.
Maintain expertise in the Group Trade Surveillance Guidelines.
Review of alerts. Escalating issues within the UK PvB and ensuring Group Trade Surveillance are informed of any issues.
Maintain advanced knowledge of the Group Operational Risk Framework and specifically assurance testing.
Personally accountable for ensuring all Compliance owned operational risk and close & continuous tests are carried out and completed on time,
Taking risk based decisions to determine residual risk scoring.
Maintain expertise on the FCA Training and Competence regime.
Provide the business with timely, confident, and consistent compliance advice about the FCA Training and Competence rules ensuring relevant individuals within PvB understand their responsibilities under the rules.
Maintain expertise on the PRA and FCA Individual Accountability Regime, including any regulatory changes or changes to the FCAs approach such as due to enforcement actions or thematic reviews.
Where relevant lead delivery of training, ensuring content is relevant, fact based and tailored to the nature of the UK business.
Maintain a constructive and positive relationship within the Private Bank, including its support functions as well as other compliance personnel. Respond to requests for information and/or assistance from them to ensure that upstream regulatory risks are closely monitored and that appropriate internal and external mitigating actions are undertaken, in order to avoid surprises and regulatory failure.