Director, Cfcc Advisory, Cpbb Uk

1 month ago

London, United Kingdom eFinancialCareers Full time

**The Role Responsibilities**:

- By providing guidance, assistance and challenge, this role is to ensure that the Consumer, Private and Business Banking (CPBB) and Wealth Management (WM) product team comply with core principles of the FCA regulations and the Group and local policies andprocedures when developing and executing investment products to retail and professional clients in the UK.
- A good understanding and knowledge of MiFID II, PRIIPs, UK Financial Promotions rules, Market Abuse Regulations, Best Execution and key aspects of the FCA handbook as it pertains to a Private Banking and WM business in the UK is essential.

**Strategy**:

- As Europe WM CFCC partner, guide and assist the European WM team to complete activity (product development and execution) in accordance with compliance policy and requirements.
- Support, by helping to implement the vision, strategy, direction, and leadership for the UK WM and CPBB Conduct, Financial Crime Compliance (CFCC) team, consistent with the Global Head of CFCC, WM, PvB ("Global Head") and Head CFCC and CFCC, CCIB, UK/Europevision and strategy for the CFCCA function and in support of the Group's strategic direction and growth aspirations.
- Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Group and embed a Here for good culture and the Group Code of Conduct.
- Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group's agenda.

**Business**:

- Proactively support and challenge the WM (including CMPS) and CPBB business to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for clients.
- As an independent second line risk control function, execute the relevant aspects of the CFCC framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scaleand complexity of the Group's business.
- Promote a culture of compliance and collaboration amongst business stakeholders and with the team.
- Guide the WM product team on best solutions for compliance with Consumer Duty obligations and incorporating best execution, product governance and other associated policies.
- Further the culture of compliance and collaboration amongst the CFCC function and WM business in Europe.
- Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to addressany remedial action needed to come back within risk tolerance/ appetite.
- Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design and documentation through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities(including nature, scale and rigour of past business reviews), investigations.
- Assist the WM business with timely regulatory compliance advice to ensure compliance with all existing & new laws and regulations and support the transition to pro-active and pre-emptive compliance and conduct risk mitigation to the WM business in Europe.
- Review client facing transaction documents against the FCA financial promotions rules. Drafting product feature and risk disclosure documents such as "know your investment risk documents" and wrappers for transaction terms.

**Processes**:

- Develop and recommend (for approval by the relevant Risk owners), appropriate country addenda to compliance policies and procedures.
- Guide and provide support and challenge to European WM team to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining highstandards of conduct).
- Ensure all processes, procedures and controls required to meet role responsibilities are clearly documented and agreed.
- Within the Group's overall Risk Management Framework, establish and maintain appropriate risk-based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory) risks across the WM businessin Europe.
- Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.

**People and Talent**:

- Provide coaching and engage in cross-training of other members of the CFCC CPBB team.
- Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
- Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
- Collaborate with training teams to input to training curriculum to support closing of capability gaps.

**Risk Management** - Act as local Risk Owner in UK under the Group's Risk Management Framework for the WM processes where Compliance is the second line Risk Owner.
- Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur andnotifying any such breaches to UK Head CFCC, CPBB and Global Head CFCC, Wealth Management.
- As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature,scale and complexity of the Group's business.
- Ensure effective management of compliance matters, and in collaboration with the wider CFCC teams, effectively manage regulatory issues that have a significant impact on the Group.
- Collaborate with the other CFCC teams to anticipate horizon risks that may have a significant impact on the Group and develop effective strategies to mitigate such horizon risks including global standards for conduct of business. In the event of seriousregulatory breaches, or where risk toleranc

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