Capital Markets Advisory Compliance Manager

3 weeks ago

London, United Kingdom NatWest Markets Full time

Join us as a Compliance Manager in our Capital Markets Advisory team

  • This role provides an opportunity to support, develop and embed the risk and control mechanisms for the business, independently overseeing and challenging the effective management of risks and controls
  • You’ll provide support, advice, MI and escalation to leaders and the overall business on risk management, recommending necessary actions to the management team for establishing and achieving financial objectives
  • Broaden your regulatory knowledge and understanding and develop in a strategic, proactive role which supports the management of the bank's risk profileWhat you'll do

    As a Compliance Manager, you’ll be helping to develop and manage our compliance and conduct policies so that we can make sure they are fit for purpose and meet the relevant regulatory expectations.

    You’ll be assessing existing and proposed financial plans and policies to make sure the bank’s financial administration is efficient and effective, as well as identifying areas of concern, bringing significant variances with supporting detail to the attention of management.

    Day-to-day, you’ll be:

    • Providing regulatory compliance and conduct insight, oversight and challenge in relation to relevant business units, ensuring compliance arrangements, taking into account core FCA principles
    • Contribute to the assessment of the conduct strategy to make sure it’s consistent with, and supports, an effective regulatory framework through the provision of advice, guidance and effective reporting
    • Providing advice to make sure conflicts of interest and potential market abuse risks are managed appropriately
    • Supporting colleagues to provide input on regulatory policy and conduct risk strategy as well as the implementation of the conduct framework
    • Helping to identify potential or actual conduct and compliance risks and ensuring the appropriate escalation, remediation and mitigation to manage risks back within appetiteThe skills you'll need

      To succeed in this role, you'll have experience in a compliance, conduct or risk management role or similar relevant experience. You'll have knowledge of the regulatory environment and its frameworks, and ideally experience of interpreting regulatory rules and regulations.

      You’ll also demonstrate:

      • The ability to manage and influence business stakeholders
      • A strong understanding of conduct risk management principles
      • Good knowledge and an understanding of the risk and compliance operating environment, associated policies, procedures and protocols

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