Senior Compliance Associate in Policy, Oversight

4 days ago

Northwood, United Kingdom NatWest Full time

Join us as a Senior Compliance Associate in Policy, Oversight & Governance

  • We’ll look to you to assist in regulatory compliance and conduct insight, oversight and challenge
  • You’ll be providing support, advice, MI and escalation to leaders and the business on risk management
  • This is an opportunity to gain exposure as you manage stakeholder relationships to make sure there’s an early understanding and buy-in of conduct risk appetite activity

What you'll do

As a Senior Compliance Associate, in Policy, Oversight & Governance, you’ll be supporting executives in making sure that the business strategy for the relevant business units is consistent with and supports an effective regulatory framework. You’ll also be supporting executives on regulatory engagement with the FCA in relation to relevant matters relating to the business.

On top of this, you’ll be:

  • Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm
  • Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite
  • Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations
  • Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model
  • Assist the wider policy, oversight and governance team with NatWest Markets policy, risk assessments, governance and the compliance annual report

The skills you'll need

To succeed in this role, you’ll need financial services experience, preferably in banking and regulated firms in the compliance and conduct risk environment. In addition, you’ll need broad knowledge of financial markets products, services and regulations.

You’ll also demonstrate:

  • Knowledge and experience of providing regulatory and technical support and advice to senior management
  • The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI
  • An effective track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline
  • Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills
  • The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated

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