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- Compliance Manager
- Edinburgh Financial Services
About Our Client
My client, a retail bank headquartered in Edinburgh, is looking to appoint a Compliance Manager.
- Ensure the Compliance and Conduct Risk Policy and wider Framework is aligned with Enterprise Risk Management Policy Standards.
- Provide advice and guidance to the business on the application of the Policy to their business areas including core processes such as the management of risk events and risk registers.
- Review and challenge business proposals presented to Committees for decisions to ensure that there has been adequate consideration of the regulatory requirements and evidence of appropriate actions to ensure delivery of fair customer outcomes.
- Provide compliance and conduct advice on queries and projects.
- Identify external regulatory change, conduct an impact assessment and communicate the change to key business stakeholders
- Working with the Head of Compliance Governance, ensure appropriate elements of the Compliance and Conduct Risk Policy are included in the overall assurance plan to test Policy embedding and be confident in making recommendations of any action required.
- Support the Head of Policy and Advice in defining the Bank's Compliance and Conduct Risk Appetite (as per Board instruction) and ensure risk governance, the supporting framework and the Bank culture (e.g: the colleague performance management and incentivisation programme) reinforce and deliver the agreed risk appetite.
- Contribute to relevant Compliance and Conduct Risk reporting to the Board, BRC and the Regulatory Compliance Committee ensuring accuracy and meeting deadlines.
- Support the Head of Policy and Advice in ensuring a quality and timely response to any FCA information requests.
- Working with the Supplier Relationship Management (SRM) team, this role holder will support the deployment of the SRM framework for Bank partners and suppliers establishing a single view of pricing, performance, service and issue resolution, ensuring governance is measured in line with the SRM process, policy and risk appetite
The Successful Applicant
- Detailed and broad understanding of the regulatory requirements that apply to a retail bank. Knowledge of the prudential rules is not essential.
- Understanding of the FCA's conduct risk agenda and as such be able to confidently review and challenge business proposals considering the customer impact
- Can evidence a strong track record of experience working in Risk, ideally with experience of interaction with the regulator
- Well organised and able to prioritise workload in line with tight deadlines and work effectively under pressure
- Highly numerate, with excellent analytical and problem solving skills and attention to detail.
- Excellent team player with ability to working closely with others to deliver results
- Customer focused
- Proven track record of working on own initiative, with the ability to introduce fresh thinking to the role and the wider team.
- Demonstrate an ability to think and reason logically
- Strong relationship management skills
- Excellent written communication - business and project reports
- Exceptional communication skills - ability to communicate effectively with anyone in any environment, e.g. able to translate complex / technical issues to meet the audience's competency level
What's on Offer
£competitive + benefits