Head of Conduct and Compliance

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    over 1 year ago

Reporting to the Chief Risk Officer, this role will provide executive leadership to the 2nd Line Conduct & Compliance Teams, maintain a strong knowledge of the firms regulations and develop, implement and embed a fit for purpose framework and solution across all disciplines.

The role holder will oversee through direct reporting line SMF 16 responsibilities and will chair the Conduct and Operational Risk Committee.  They will deputise for the CRO both internally and externally and support both regulatory relations and management of the Senior Management Functions and Certification Regime (SM&CR) framework.


Key Responsibilities:

  • Own the Regulatory relationships on behalf of the firm including FCA and PRA
  • Develop, implement, lead and report on end to end Conduct Risk & Compliance Frameworks ensuring that they are fit for purpose for the size, nature and complexity of the firm and comply with regulatory and legislative requirements
  • Direct oversight of all personnel within the Conduct & Compliance Teams.
  • Deploy appropriate Conduct & Compliance risk assessment tools partnering key business stakeholders to provide proactive advice and challenge to ensure the effective deployment of appropriate controls and processes across the firm
  • Pro-actively oversee the business, evaluate and provide effective integrated assurance to ensure the integrity of policies controls, risk assessments, identification and remediation’s, providing forward looking dashboards and strong qualitative reporting to the Executive Management on current, emerging and thematic risks or issues.
  • Recruit, lead, manage, develop engage and motivate people
  • Effectively manage and influence internal and third-party resources and budgets to provide an efficient and proportionate risk based approach ensuring strong subject matter expertise to advise, challenge and where necessary train/educate at all levels across the organisation.
  • Assist with ad-hoc investigations, external reporting and the regular provision of regulatory horizon scanning and associated impact assessments.
  • Work proactively with the Board and Executives in establishing and monitoring Conduct, Operational and Regulatory Risk across the firm, ensuring the right ‘tone from the top’ is created and cascaded


Key Requirements-       

  • Extensive experience within a Compliance and Conduct function, with significant experience at senior management level within a retail banking or similar regulated environment.
  • Extensive experience of leading, motivating and developing people/teams.
  • In depth technical knowledge and practical experience of PRA/FCA requirements and standards
  • Commercial, business focussed with strong judgement and integrity
  • IT literate with good knowledge of Microsoft Office packages, particularly Excel and Word
  • Calm and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles.
  • Familiar with sophisticated and integrated risk management processes and tools
  • Understand how to control risk and appropriate monitoring systems
  • The Head of Conduct, Operational and Regulatory Risk role conforms to the requirements of the PRA/FCA Senior Managers Regime