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Associate, Compliance, Conflicts of Interest & Conduct Monitoring
Apply data analytics to identify potential risk areas across products, regions and businesses and work with relevant stakeholders to design reviews that assess and measure these risks.
Identify new or enhance existing data points for metrics collation to assist in the identification of potential conduct lapses within CIB businesses.
Work with relevant stakeholders on various conduct themed end-to-end reviews of CIB and other business lines and will be involved in any / all the following activities; risk identification, research, stakeholder engagement, documentation & delivery, tracking actions through remediation period
Socialise review findings with relevant stakeholders across the business and support functions and share lessons learned with the wider compliance function.
Provide support to businesses in driving changes that maybe required as part of the reviews that have been conducted, where necessary challenge instances whereby proposed changes might be deemed insufficient.
Produce comprehensive MI on the teams; book of work, business coverage, findings, trends / themes and fulfil any other ADHOC MI requests from management.
Collaboration & leverage on synergies between both the Conflicts & Conduct teams, utilising resources where required most, to deliver on both books of work.
Implement the mission, vision & strategy for Conduct Monitoring & Conflicts of Interest Compliance team, consistent with Head, Compliance, Conflicts of Interest & Conduct Monitoring vision and strategy for the team function and in support of the Bank's strategic direction and growth aspirations.
Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
Build and maintain an effective and constructive relationship with all key business and functional stakeholders in collaboration with their primary points of Compliance contact that is based on trust, capability, and integrity, providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
Provide robust challenge to management, Compliance colleagues and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite.
Regular and diarised catch ups with all key Compliance stakeholders.
Our Ideal Candidate
Good educational background, ideally to degree or equivalent level.
Good knowledge of both local and global (specifically UK) rules and regulations, emerging themes and areas of increasing regulatory focus and attention - including, but not limited, to the regulatory conduct agenda.
Career experience at any of the following within the relevant jurisdiction(s): law firm, financial institution, regulator, Big 4 Accountancy Firm or compliance consultancy practice.
Excellent knowledge and/or practical experience/deep understanding of more than one Investment, Private or Retail banking product or business type
Strong appreciation of the importance of proper standards of wholesale conduct within banking business and an understanding of how to identify and frame conduct risk related issues across the business.
Strong technical skills including data analysis and manipulation across systems and with desktop tools such as .xls, SharePoint, data bases and visualisation tools
Excellent oral presentation skills, with experience of developing or delivering regulatory focussed training materials to groups.
Ability to develop and enhance relationships across multiple stakeholders in various functional and geographic groups, including but not limited to FM business management, other Compliance functions etc.
Excellent written English with a proven track record of drafting policy, procedural, manual or operational documentation to a very high standard. This should include tracking and managing feedback from a broad range of stakeholders and condensing into written documentation in a concise and practical written style (strong excel, word, and power point skills advantageous).
Ability to consider matters from an end-to-end perspective, including looking at conduct related matters from the initial policy statements, more detailed procedural aspects, training requirements, assurance testing and monitoring.
Identification of potential conduct and regulatory risks facing the business, beyond the most obvious risks.
Proven executor of initiatives including leading on improving standards, culture and behaviour.
Ability to work independently, within a team and with appropriate supervision, with a desire to deliver results. Self-motivated and self-reliant with genuine desire to get things done and to do it right, as well as the ability to provide practical and effective advice. Being able to accept challenge and change, listen to the other point of view and adapt your approach accordingly is essential.
Diplomacy, sensitivity, and the ability to gently, but professionally stand your ground when needed and persuade others of the merits of a particular approach.