Compliance and Conduct Risk Manager - Policy and Advice

50000.00 - 60000.00 GBP Annual + + Bonus & additional benefits
16 Sep 2017
14 Oct 2017
Contract Type
Full Time
Compliance and Conduct Risk Manager - Policy and Advice - Edinburgh

Salary: GBP50,000 - GBP60,000 depending on experience + Excellent Benefits / Bonus & car allowance

Sanderson are recruiting a Compliance and Conduct Risk Manager on behalf of one of the UK's leading banks offering its products both directly and via Intermediary channels. This is an exciting time to join an established, forward thinking business during an exciting period of growth.

In this role you will support the Head of Policy and Advice in managing, developing and delivering the compliance and conduct risk management framework ensuring it meets the standards required of the Enterprise Wide Risk Management Framework. Part of your duties will include supporting the Head of Policy and Advice in all activities associated with being a Policy Manager including defining compliance and conduct risk appetite, agreeing minimum standards and helping to embed the Compliance and Conduct Risk Policy across the business.

The successful candidates will be required to identify external regulatory change, assess the impact on the business and communicate this effectively to key stakeholders. In addition, the review and challenging of business proposals will be required to ensure that regulations and customer impact is adequately considered and appropriate action is being taken to ensure delivery of compliant processes and fair customer outcomes. The role also requires the job holder to assist the Head of Policy and Advice in developing a strong and robust process for ensuring the effective capture and delivery of conduct risk reporting to all relevant Committees, including the Board, Board Risk Committee (BRC), and the Regulatory Compliance Committee.


* 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.

Skills, knowledge and experience:

* 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.
* 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.

To submit your CV please either click apply or should you wish to discuss the position in the strictest of confidence please feel to call Dan Galstaun at Sanderson Recruitment on [Phone number removed]