Director of Conduct Risk - London, United Kingdom - Sanderson

Sanderson

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Rolling contract

Mostly remote with occasional travel to London

Responsibilities:

Leadership of UK GI Conduct and Compliance Team
Financial ownership for UKGI Conduct risk function budget
Approval of material decisions with a significant conduct or regulatory impact, including but not limited to: launch of new products/propositions, new marketing campaigns, project requirements to deliver mandatory change
Own any escalation of UK GI regulatory breaches, risk events or poor customer/conduct outcomes to the Board
Responsible for ensuring there is an appropriate conduct and regulatory risk aware culture in UKGI to support the timely identification, escalation, and management of risks
Deliver Conduct Communications Strategy in UKGI
Manage long, medium, and shortterm prioritisation and capacity planning activity to forecast and align adequate resources to meet compliance plans, programmes, and activities
Immediate decisionmaking day to day, in line with priorities, and delegated decisions to senior leadership team.
Oversee the management of external review activity relating to conduct or regulatory issues, including information requests.
Oversee the design and embedding of compliance frameworks and Operational Risk and Control Management framework, and methodologies in line with the company's Risk Management Framework.
Responsibility for 2nd line oversight and challenge of strategy to ensure all conduct and regulatory risks arising from and to the strategy have been identified and are being appropriately managed
Responsible for ensuring 2nd line oversight of operational activity appropriately manages and reports conduct risks exposures arising from UKGI operations, including but not limited to: customer contact, operational resilience, IT services, IT Security,business continuity, data privacy and data governance, change management and oversight of 3rd party suppliers and outsource arrangements.
Manage and coordinate with the Regulatory Affairs Director, the communication of all conduct Issues for UK GI to FCA Maintain an open and cooperative relationship with FCA ensuring timely notification of breaches and proactive engagement on proposed materialchanges to the risk profile of the UK GI business
Identify and analyse regulatory developments impacting on UKGI and provide proactive assistance with implementation.