Mled Cfcc Client and Market Conduct Framework and

2 weeks ago

London, United Kingdom eFinancialCareers Full time

**Role Responsibilities
Purpose**
This is a newly created role in 2023 for an Executive Director within Conduct, Financial Crime and Compliance (CFCC) overseeing the Framework and Policies informing Market Conduct and Client Conduct Compliance Risk Subtypes (CRST). This role will report tothe Global Head CFCC Advisory Client Coverage (Client Conduct CRST Owner) and a dotted matrix to the Global Head CFCC Advisory FM and TM (Market Conduct CRST Owner).
**Strategy**:

- Lead the remediation programme to address the identified gaps in the two CRST's.
- Support the CRST Owners in providing oversight of the overall Client conduct and Market Conduct Framework, Policy and its underlying Standard implementation effectiveness.
- Provide oversight and governance on the Policies and Standards scoped under the two CRST's.
- Continuously enhance end to end Client and Market conduct frameworks by driving greater first line ownership of the risks and its control environment to managing these risks.
- Embed Client and Market conduct considerations within First Line processes in decision making and day to day activities to further strengthen risk culture
- Define policy and standard level MI requirements for oversight and monitoring.
- Central maintenance of a register / inventory of compliance and regulatory risks arising from Client and Market Conduct and analyse the comprehensive impact of regulatory obligations on the Bank's business area and its operations.
- Central coordination and maintenance of policy and procedural materials in relation to Market and Client conduct through to their embedding in BAU business and functions.
- Support Regional and Country Compliance teams in their liaison with regulators for Market and Client conduct related matters.
- Central co-ordination and preparation of Market and Client Conduct risk reporting to senior management and key stakeholders (Internal/External).
- Preparation of committees and forum papers to provide timely escalation of Market and Client conduct risks and issues to senior management.
- Central coordination of the preparation and delivery of training and educational materials in relation to Client Conduct and Market Conduct risk management.
- Proactive involvement and leadership in industry association forums to represent SC's interests, needs and ensuring the Group remains abreast of upcoming regulatory changes and relevant advocacy initiatives.
- Providing day-to-day leadership of the Client and Market Conduct Team.

**Business**:

- Support and implement the mission, vision, strategy, and leadership for Global Head CFCC Advisory Client Coverage (Client Conduct CRST Owner) and Global Head CFCC Advisory FM and TM (Market Conduct CRST Owner), consistent with the Management's strategyfor the Compliance function and in support of the Group's strategic direction and growth aspirations.
- Support audit or assurance related activities by ensuring timely and quality information/evidence is provided when requested and to ensure audit findings are adequately managed and addressed to the point of completion

**Processes**:

- Support the Global Head CFCC Advisory Client Coverage and Global Head CFCC Advisory FM and TM, by establishing and maintaining effective processes (including training, advice, and support, where necessary) to ensure that policies, standards and processesto address Client and Market Conduct risks (excluding financial crime) are effectively implemented and adhered to across the Group.
- Provide support and challenge to the Group's management to ensure that they establish and monitor appropriate processes in accordance with Compliance's policies, standards and processes (including meeting regulatory obligations and maintaining high standardsof conduct).

**People & Talent**:

- Lead through example and build the appropriate culture and values. Set appropriate tone and expectations within the team and work in collaboration with risk and control partners.
- Demonstrate the appropriate culture and values consistent with expectations of Global Head CFCC Advisory Client Coverage (Client Conduct CRST Owner) and Global Head CFCC Advisory FM and TM (Market Conduct CRST Owner). Set appropriate tone and expectationsin collaboration with risk and control partners.
- Contribute to instilling an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
- Regularly and on a timely basis appraise performance.
- Provide ongoing training and development to ensure that team members are competent, suitably skilled and qualified for their roles, ensuring that they have effective supervision in place to mitigate any risks.
- Provide constructive developmental feedback at business, function, country and individual level as appropriate, on CFCC-related matters which should have a bearing on remuneration pools or individual bonuses (for senior staff).
- Drive the agenda of, and engagement within, the CFCC teams supporting Client Conduct and Market Conduct CRSTs, and promote adherence to the stakeholder map, ensuring efficient alignment of business and function.
- Collaborate with training teams to input into training curriculum to support closing of capability gaps and to meet the training needs of Client Conduct and Market Conduct CRSTs.
- Ensure staff in team have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.

**Risk Management** - In the event of serious regulatory breaches, or where risk tolerances have been breached, support the Global Head CFCC Advisory FM and TM and Global Head CFCC Advisory Client Coverage to ensure relevant management and regulators are informed and that actionsare taken quickly to remediate and/or cease activities. Ensure proactive and timely identification, assessment, advice, and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform, where appropriate.
- Support the Client and Market Conduct CRST owners in providing reports, as required, to relevant Group and Business risk and control committees and management groups on key risks and issues.
- Where necessary, maintain adequate management MI/trackers across all aspects of the role to ensure all relevant issues and matters are tracked, followed, regularly assessed and reported on. Liaise with the internal audit function to ensure that any CFCCweakness identified by the internal audit function r

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