Business Assurance Manager

5 days ago

London, United Kingdom eFinancialCareers Full time

**Description of the Business Line or Department**

The Commercial Department is responsible for the profitable management and the strategic direction of the Private Banking Teams in the UK, Channel Islands and Gibraltar. The Commercial department is responsible for implementation and the development of thebusiness through intelligent planning, reliable operations, providing a robust governance framework and creating productive relationships with the Commercial and Client Service Group teams.

**Summary of the key purposes of the role**
- Investigate complex complaints including Ombudsman referrals and or cases which involve litigation.
- Oversee the client complaint process ensuring timeliness and quality of response
- Sample controls of complaint handling performed by team leaders
- Undertake root cause analysis of the complaints received
- Support the Business Assurance team in monitoring the internal control environment for Commercial in all jurisdictions, to establish that it is robust and meets local regulatory standards

**Summary of responsibilities**
- Work in collaboration with the group wide Business Assurance team to undertake the timely execution of all necessary first line of defence control activity
- Investigate complex complaints, complaints referred to an Ombudsman and any cases involving litigation, as and when received, being independent from the area about which the complaint has been made, or has arisen; thereby ensuring client's rights are protected
- Provide oversight of complaints handled by Front Office ensuring case handlers are adhering to process, providing robust final responses, and records are complete and accurate
- Perform root cause analysis to identify trends and themes, and produce reports for senior management and key stakeholders
- Provide feedback to Front Office staff and ensure the closure of identified issues
- Deliver on-going training to Front Office staff
- Maintain version control of business assurance procedures and execute action plans to remediate exceptions to these procedures
- Provide analysis of Commercial departments Risk Events, in conjunction with complaints, to ensure key trends are escalated. Proactively suggest improvements to processes and procedures which will reduce risk, increase productivity amid ongoing desire forthe business to simplify and ensure right first time culture
- Coordinate and complete the annual Risk & Control Self-Assessment (RCSA) on behalf of the Commercial department
- Perform all duties in accordance with the principles outlined in the SGPBH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long-term sustainability of client relationships.

**Competencies**
- Individual contributor competencies as defined in the KH Leadership Model
- Knowledge of legal, regulatory and industry requirements for a wealth management business
- Financial product knowledge
- Strong communication skills
- Strong people skills
- Ability to formulate and communicate decisions based on regulatory requirements.
- Ability to adapt and change based on requirements
- Experience in providing training
- Team Building
- Planning & Organising
- Pragmatism

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