My client, a leading Investment Bank and Financial Services provider, is looking to recruit a Senior Managers Regime Analyst to support the Senior Managers and Conduct Frameworks (SMCF) sub-Function in the delivery of its plans and objectives. The role holder will focus on the provision of technical analysis on risks and issues, providing support to ensure these are resolved.
Compliance Compliance operates as one team to drive the right customer outcomes and protect the integrity of the financial services markets through innovation. Please visit our website here for more information.
The Conduct Oversight function is responsible for delivering: * Group wide accountability and conduct frameworks. * Conduct and accountability governance oversight. * A group-wide Compliance Investigations capability that ensures appropriate stakeholder engagement, scoping and execution from intake to closing of matters. * A global Whistleblowing program that supports staff who report concerns, protects them from retaliation and leads to actions being taken where appropriate. Key Accountabilities:
To support the delivery of the Senior Manager Regime in the company and other work streams, programmes and projects owned by SMCF sub-Function. Responsibilities and activities include, but are not limited to:
Management Support (60%) * Support the development and delivery of sustainable solutions relating to Conduct & Accountability through robust tools, systems and frameworks. * Support the interpretation and adaption of key regulatory rules, guidance and associated regulatory changes in relation to Conduct & Accountability. * Contribute to the completion of Statements of Responsibilities for each Senior Manager. * Contribute to the Firm Accountabilities Map for all in scope entities. * Prepare handover arrangements between incoming and outgoing Senior Managers. * Further linkage and understanding of the impact of Conduct & Accountability on the wider regulatory environment, in particular Structural Reform. Reporting and Communicating (20%) * Contributing to the production of relevant MI/reports and briefings. * Documenting and managing business issues arising from requirements gathering, prioritising and then monitoring to resolution. * Tracking deliverables and ensure meeting business and regulatory requirements. Ad-Hoc Support (20%) * Support the team with priority activities (often responding to pressing requests from the Regulators, Business Compliance and Senior Managers etc.) Candidate Profile:
* Excellent team worker. * Strong stakeholder engagement, able to confidently engage on regulatory matters with Line Management, colleagues and stakeholders. * Knowledge of the Group and Business Unit structures and the roles and responsibilities of the various parts of these businesses. * Knowledge of Group Policies, as well as effectively managing potential breaches and, where necessary, escalating. * Experience creating reports and dashboards for senior management. * Demonstrable experience working within or closely with a Compliance or Regulatory Function. * Creative problem solver. * Experience of managing multiple and varied tasks through to completion consistently. * Prioritisation skills essential to meet Line Management expectations and to ensure successful delivery. * Demonstrates strong commercial awareness in dealing with stakeholders.