Head of Conduct

2 months ago

Edinburgh, United Kingdom Sainsburys Full time

**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

  • Residence Life Conduct

    3 months ago

    Edinburgh, United Kingdom University of Edinburgh Full time

    **Grade UE06: £31,396 - £36,024 per annum (plus 5% premium band uplift due to working hours rota)** **Corporate Services Group / Accommodation, Catering & Events / Residence Life** **Full-time: 35 hours per week** **Open-ended: permanent We have an exciting opportunity and are looking for an experienced, passionate professional with experience in...

  • Head of Conduct

    2 months ago

    Edinburgh, United Kingdom 1825 Full time

    Job Description At abrdn, our purpose is to enable our clients to be better investors. Clients worldwide trust us to find future-fit investment opportunities to deliver the outcomes they want. Our technology and insight help empower them to make better decisions, while the powerful partnerships we build help to enhance the expertise that we offer. And by...

  • Head of Conduct

    2 months ago

    Edinburgh, United Kingdom abrdn Full time

    Job Description At abrdn, our purpose is to enable our clients to be better investors. Clients worldwide trust us to find future-fit investment opportunities to deliver the outcomes they want. Our technology and insight help empower them to make better decisions, while the powerful partnerships we build help to enhance the expertise that we offer. And by...

  • IT Operations Expert

    5 hours ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time £65,000

    Job DescriptionRole OverviewHead Resourcing's private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT Operations team.Key ResponsibilitiesEnsure the seamless performance of core applications, including Oracle Products, Document Management System, Managed File Transfer Integration, and CRM.Administer...

  • IT Trainer

    2 months ago

    Edinburgh, United Kingdom Head Resourcing Full time

    IT Trainer - 12-month FTC Edinburgh - hybrid Head Resourcing are delighted to be working with one of our Third Sector clients as they look to hire a talented IT Trainer. Our client is one of the largest member organisations in Scotland and are a charity focussed on the conservation of Scotland's unique and historic sites. As an IT Trainer, you will...

  • Senior Developer, C# SQL

    2 weeks ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Head Resourcing are looking for an experienced Software Developer to join a Fintech company with a 30+ year history increasing its footprint in the Financial Services industry. Develop, maintain and enhance web-based back office applications and customer-facing web sites while adhering to company quality standards. * Develop high quality, fit-for-purpose...

  • IT Systems Analyst

    3 weeks ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time £45,000

    Position Overview:We are seeking a skilled IT Systems Analyst to join our team on an initial fixed-term contract. This role will be pivotal in enhancing the efficiency and effectiveness of our client's technological platforms.Location: Hybrid working arrangementKey Responsibilities:Conduct thorough analysis of business operations to identify needs,...

  • IT Operations Expert

    5 hours ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time £65,000

    Job DescriptionRole OverviewHead Resourcing's private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT Operations team.Key ResponsibilitiesEnsure the seamless performance of core applications, including Oracle Products, Document Management System, Managed File Transfer Integration, and CRM.Administer...

  • Security Manager

    5 hours ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time

    Job Summary:Head Resourcing is seeking a highly skilled Security Manager to join our team in a hybrid role. As a Security Manager, you will be responsible for ensuring the security and integrity of our organization's assets and operations.Key Responsibilities:Develop and implement effective security strategies to mitigate risks and threatsCollaborate with...

  • Information Technology Specialist

    1 month ago

    Edinburgh, United Kingdom Head Resourcing Full time

    IT Trainer/Technical Trainer – 12-month FTC Edinburgh – hybrid Head Resourcing are delighted to be working with one of our Third Sector clients as they look to hire a talented IT Trainer. Our client is one of the largest member organisations in Scotland and are a charity focussed on the conservation of Scotland’s unique and historic sites.As an IT...

  • Application Support Specialist

    21 hours ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time

    Job Description**Job Summary:**Head Resourcing's private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT Operations team.About the Role:In this role, you will be responsible for ensuring the seamless performance of this client's core applications, including Oracle Products, Document Management System,...

  • IT Operations Analyst

    21 hours ago

    Edinburgh, Edinburgh, United Kingdom Head Resourcing Full time

    Job Summary:Head Resourcing's private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT Operations team.About the Role:In this role, you will be responsible for ensuring the seamless performance of our client's core applications, including Oracle Products, a Document Management System, Managed File...

  • Senior Software Engineer

    1 month ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Head Resourcing are looking for an experienced Software Developer to join a Fintech company with a 30+ year history increasing its footprint in the Financial Services industry. This is a unique opportunity to join the team that our responsible for the companies’ key services.You will be working with a Fintech company that have made great strides in the FS...

  • Dotnet Developer

    2 weeks ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Head Resourcing are looking for an experienced Software Developer to join a Fintech company with a 30+ year history increasing its footprint in the Financial Services industry. This is a unique opportunity to join the team that our responsible for the companies’ key services.You will be working with a Fintech company that have made great strides in the FS...

  • Dotnet Developer

    2 weeks ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Head Resourcing are looking for an experienced Software Developer to join a Fintech company with a 30+ year history increasing its footprint in the Financial Services industry. This is a unique opportunity to join the team that our responsible for the companies’ key services.You will be working with a Fintech company that have made great strides in the FS...

  • Dotnet Developer

    2 weeks ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Head Resourcing are looking for an experienced Software Developer to join a Fintech company with a 30+ year history increasing its footprint in the Financial Services industry. This is a unique opportunity to join the team that our responsible for the companies’ key services. You will be working with a Fintech company that have made great strides in the...

  • C# Software Engineer

    2 weeks ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Company Overview: Head Resourcing is seeking a skilled Software Engineer to become part of a well-established Fintech organization with over three decades of experience in the Financial Services sector. Role Overview: This is an exceptional chance to join a team responsible for delivering the company's essential services. About the Company: You will be...

  • Application Support Analyst

    7 days ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Hybrid - Edinburgh or London (one or two days per week in office) 💰 Salary - up to £65,000 🛠 Role - Application Support Analyst Head Resourcing's private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT Operations team. About the Role: In this role you will be responsible for...

  • Application Support Analyst

    2 days ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Hybrid – Edinburgh (one or two days per week in office) Salary – up to £65,000 Role – Application Support AnalystDo you have the right skills and experience for this role Read on to find out, and make your application.Head Resourcing’s private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT...

  • Application Support Analyst

    2 days ago

    Edinburgh, United Kingdom Head Resourcing Full time

    Hybrid – Edinburgh (one or two days per week in office) Salary – up to £65,000 Role – Application Support AnalystDo you have the right skills and experience for this role Read on to find out, and make your application.Head Resourcing’s private banking client is seeking a highly skilled and motivated Application Specialist to join their dynamic IT...