Join us as a Compliance Monitoring and TestingManager
- Inyour new role, you'll own and develop appropriate risk and controlframeworks and independently oversee and challenge the effectivemanagement of risks andcontrols
- We'll look toyou to provide pragmatic, commercial solutions for compliance,conduct and regulatoryissues
- You'll berecognised for your expertise and specialist knowledge, as you workclosely with the business to gain their trust, confidence andrespect
Asa Compliance Monitoring and Testing Manager, you'll oversee allcompliance responsibilities related to the development, maintenanceand periodic re-assessment of policy and conduct frameworks. You'llcreate an appropriate work environment to ensure the delivery offair outcomes for our customers in discharging the bank'sresponsibility to deliver good customer outcomes . Allwhile maintaining positive and effective working relationships withsenior management, risk teams and externalbodies.
Yourresponsibilities willinclude:
- Monitoringand testing of controls designed to mitigate conduct and compliancerisks
- Developing and managing conduct andcompliance monitoring and testing function and global periodiccalendar of monitoring and testing function, including timelyreport drafting and publication through NWMgovernance
- Ensuring a cleararticulation and understanding of roles and responsibilitiesbetween first and second lines ofdefence
- Providingconduct and regulatory expertise, often in a leadership capacity tomake sure the bank meets or exceeds regulatoryrequirements
- Promotingearly engagement with teams where any change in risk policy oractivity may beneeded
- Making surethat all processes and procedures adopted reflect the research andinterpretation of regulatory bodies rules and guidance, andindustry bestpractice
Tobe successful in this role, you'll need detailed knowledge of localregulation, legislation and codes of practice relevant toappropriate licenses held. You'll also have the ability tointerpret these to support policy and procedure development. We'lllook to you to have experience of interacting with regulators, andhosting regulatory on site visits, along withe xcellent interpersonal skills, and good verbal andwritten communicationskills.
In addition, you'llneed:
- Extensiveknowledge of financial markets services gained from operatingwithin a compliance or assurancefunction
- The abilityto source and assess multiple data and information points to helpmake risk-based decisions andsolutions
- The abilityto work with colleagues at all levels, with good influencing,listening and questioningskills
- Experience ofreport writing at all levels, including executive and board, andthe ability to verbally deliver and discuss thecontent