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Conduct Risk Officer

  • Location

    Kent

  • Discipline:

    Risk Management

  • Job type:

    Permanent

  • Salary:

    £30,000 - £36,000 pa

  • Consultant:

    James Flood

  • Email:

    jflood@merje.com

  • Job ref:

    JF/14810

  • Published:

    24 days ago

The Conduct Risk Officer will assist the Regulatory Advisory Team and the Group Head of Compliance in delivering practical and clear guidance to the business on how to effectively meet conduct regulatory requirements, helping the business ensure that it implements effective systems and controls (in relation to these requirements) and to escalate any material issues identified.

The key purpose of this role is to work with compliance colleagues and the business to contribute to the achievement of the Group’s business goals in what continues to be, a rapidly changing regulatory environment and to promote a robust and effective compliance and conduct risk culture within the Bank.

Responsibilities;

  • Contribute to the Group Compliance Function’s identification, assessment, communication, tracking and reporting of conduct regulatory change matters facing the business
  • Assist with providing members of the Group with requisite assistance for specialist technical conduct regulatory interpretation and the on-going support and advice on wider FCA-related regulatory themes
  • Contribute to the development of compliance and conduct risk frameworks, policies and procedures and ensuring that consistent standards are applied across the Group through effective communication and advice
  • Support the Compliance Function in maintaining the Group’s Conduct Risk Register through proactive engagement with key stakeholders
  • Contribute to the preparation of compliance and conduct risk management information reports for the Group’s Management and Board committees
  • Provide effective Compliance functional reporting and ensure matters of concern are escalated to the Group Head of Compliance, or other senior management as appropriate
  • To support the HR function in development, delivery and evaluation of compliance and conduct risk related training
  • Support the business in relation to investigations into conduct regulatory related incidents/breaches and providing risk-based advice and guidance on identifying appropriate remedial actions
  • To act as an ambassador for the bank’s compliance and conduct risk culture and standards, demonstrating the highest standards of behaviours at all times
  • Maintain the company’s compliance standards and own compliance training

Experience;

  • A minimum of 12 months previous experience working in Compliance or Conduct Risk roles within the financial services industry is essential
  • A minimum of 12 months previous experience undertaking a conduct regulatory advisory role is desirable
  • A minimum of 12 months previous experience undertaking a role involving the identification and interpretation of emerging conduct regulatory requirements and providing associated advice is desirable
  • Previous experience with retail banking products and services is desirable
  • Detailed knowledge of the emerging conduct regulatory environment is essential
  • Detailed working and practical knowledge of the FCA handbooks and their application in practice is essential
  • Knowledge of retail banking and associated products is desirable
  • Basic understanding of project management principles and practice is desirable
  • GSCE/GCE qualifications in both maths and English are essential
  • Formal/professional compliance qualifications are desirable