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The UK Corporate Compliance Manager is primarily responsible for driving the strategic relationship with the UK financial regulators. By demonstrating a strong understanding of the regulator's perspective and on-going strategy, the role provides an insightful angle into these key relationships, ensuring that responses and interactions are cohesive and unified.
Role specifics Typical activity for this role will include:
Relationship management with the PRA and FCA supervision contacts
Internal point of escalation across UK business lines in regulatory reviews/requests for information/enquiries
Demonstrable proactive internal leadership throughout the management of regulatory deliverables to the FCA and PRA, ensuring cohesive, timely and accurate responses
Attendance at regulatory meetings to ensure consistency of messaging on key themes and actions
Compliance advisory and effective issue escalation protocol support to the following areas:
- Non-financial Regulatory Reporting - EMEA Outsourcing Office - Human Resources - Company Secretarial - Senior Managers Regime Office (SMRO) - Culture and Conduct - CAO office
Ongoing management of the team activities including reviewing materials prepared such as the regulatory request tracker, regulatory meeting tracker and any MI going to the relevant boards and committees
Attendance at regular working groups including Operational Resilience Forum, SMR and Conduct Working Group.
Support and encourage the culture of 'Risk Excellence' across the business and operate with a high moral code
Provide appropriate management information as required to support decision making
Ensure that the highest level of the Code of Conduct is displayed in your behaviour
Display a culture of individual ownership of tasks to embed a clear individual sense of accountability in performing the role
Adhere to limits of delegation and escalation procedures required by your manager so that you comply with internal policies and external regulations
Experience in a regulated environment in financial services or experience gained in monitoring or advisory compliance is preferable, although not essential.
An understanding of UK regulator strategy and/or business plans.
Proven relationship management or regulatory liaison experience.
Strong interpersonal skills.
Strategic thinker & effective influencer
Ability to work in a pressurized environment
Organised, resilient with strong attention to detail and drive
Internal Number: 6433637
About State Street
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