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Head of Conduct
2 months ago
**Head of Conduct & Compliance Monitoring**
- 230001VV)
**Head of Conduct & Compliance Monitoring**
**Sainsbury’s Bank**
**Edinburgh, Holborn or Widnes & Home**
We are happy for you to be based in any of the above locations but please note that occasional travel will be required to our Edinburgh office.
**In a nutshell**
As the Head of C&C Monitoring you will play a key role in delivering the regulatory obligations in relation to compliance oversight. You will be responsible for the annual compliance monitoring plan, ensuring that findings are escalated and actions are completed. You will also help to drive a greater focus on controls and conduct culture across the financial services group whilst working with the C&C Director to support them to fulfil their responsibilities as SMF16.
**What you’ll be doing**
- Develop & lead the implementation of a robust approach to monitoring and assessment of compliance with regulations, policies and standards through a rolling programme of risk-based monitoring activity.
- Keep abreast of the changing regulatory landscape, the external operating environment and the Group’s strategy and consistently benchmark the monitoring strategy to ensure it remains fit for purpose.
- Develop, maintain, and deliver a risk-based annual monitoring plan to monitor and independently assess the adequacy and effectiveness of the financial services groups’ measures, policies and procedures to detect any risk of failure to comply with its obligations under the regulatory system.
- Responsible for ensuring that the compliance monitoring plan includes regular and thematic monitoring activity and liaise with key stakeholders and consider a range of risk factors, including regulatory landscape and emerging developments, the external operating environment, operating model and outcomes based MI.
- Responsible for ensuring that monitoring reviews are evidence based and insightful and that outstanding compliance issues are tracked and resolved to mitigate risk.
- Respond to feedback and challenges to monitoring reviews from Senior Managers/Exco members.
- Ensure assurance services provided to Argos Limited (per IGA) which assess compliance of financial product sales practices in the retail stores are delivered to a high standard, in line with methodology and that the annual plan is delivered on time.
- Lead the production of MI to support reporting to Executive Risk Committee and other governance fora.
- Provide strategic leadership to the C&C Risk Monitoring team and support to the C&C Director as required.
**What you need to know and show**
- Holistic understanding of the environment in which the Bank operates (economic, banking industry, regulatory, and organisational).
- Expert in FCA Handbook and the ability to navigate and interpret the rules and guidance contained therein.
- Expert knowledge of the PRA, PSR and other regulators.
- Proven track record in working within a regulatory environment.
- Expert in conduct risk and a sound understanding of regulatory expectations.
- Experience in providing input and challenge from a 2nd line/independent perspective.
- Expert in assessing qualitative and quantitative information, making judgements and writing reports in a clear, concise way that present findings and recommendations to stakeholders.
- Ability to coach and manage staff to build a high performing team.
- Project management skills and the ability to lead a team to deliver against plan.
**Senior Managers and Certification Regime (SM&CR)**
Under the SM&CR, this role has been assessed as a certified role and as such we need to satisfy all conditions as set out by our regulators (PRA and FCA). This means that we need to ensure you are fit and proper to carry out this role upon initial appointment and on an ongoing annual basis. The role holder must also comply with the conduct rules as specified by our regulators.
Rule 1: You must act with integrity
Rule 2: You must act with due skill, care and diligence
Rule 3: You must be open and cooperative with the FCA, the PRA and other regulators
Rule 4: You must pay due regard to the interests of customers and treat them fairly
Rule 5: You must observe proper standards of market conduct*
- This rule relates to both market trading activity as well as conduct (Treating Customers Fairly) in the market
**Our benefits**
In addition to the all
- important competitive salary, pension & bonus offering, we totally get that life outside work is important to us all. So, we want to shout out some of our other great benefits
- We offer flexible working to help you achieve a good work/life balance
- Opportunity to buy extra holidays is on the table
- Discounts on your weekly shop, buying a laptop or sofa? We’ve got it covered through your Sainsburys, Argos and Habitat store discount card
- Cycle to work scheme
**A little about us & our culture**
We’re proud of our heritage as the UK’s first supermarket bank. As digital technology driv
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