Director of Conduct Risk

3 weeks ago

London, United Kingdom Sanderson Full time

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 short-term prioritisation and capacity planning activity to forecast and align adequate resources to meet compliance plans, programmes, and activities
- Immediate decision-making 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 co-operative 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 pro-active assistance with implementation.

**Requirements**:

- Degree level or equivalent + relevant Insurance qualifications
- Leadership experience of minimum 10 direct reports is essential
- GI or Retail Banking background being essential
- considerate of LI background
- Significant senior level relevant GI (Commercial & Personal Lines) Conduct Risk & Compliance experience

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