Compliance Risk Oversight Manager

3 weeks ago

London, Greater London, United Kingdom NatWest Markets Full time
Compliance Monitoring and Testing Manager

We are seeking a highly skilled Compliance Monitoring and Testing Manager to join our team at NatWest Markets.

This role is responsible for owning and developing appropriate risk and control frameworks, independently overseeing and challenging the effective management of risks and controls.

The successful candidate will provide pragmatic, commercial solutions for compliance, conduct, and regulatory issues, and will be recognised for their expertise and specialist knowledge.

Key Responsibilities:

  • Monitoring and testing of controls designed to mitigate conduct and compliance risks.
  • Developing and managing conduct and compliance monitoring and testing function and global periodic calendar of monitoring and testing function.
  • Ensuring a clear articulation and understanding of roles and responsibilities between first and second lines of defence.
  • Providing conduct and regulatory expertise to ensure the bank meets or exceeds regulatory requirements.
  • Promoting early engagement with teams where any change in risk policy or activity may be needed.
  • Ensuring that all processes and procedures adopted reflect the research and interpretation of regulatory bodies' rules and guidance, and industry best practice.

Requirements:

  • Detailed knowledge of local regulation, legislation, and codes of practice relevant to appropriate licenses held.
  • Ability to interpret these to support policy and procedure development.
  • Experience of interacting with regulators, and hosting regulatory on-site visits.
  • Excellent interpersonal skills, and good verbal and written communication skills.
  • Extensive knowledge of financial markets services gained from operating within a compliance or assurance function.
  • Ability to source and assess multiple data and information points to help make risk-based decisions and solutions.

About NatWest Markets:

NatWest Markets is a leading financial institution with a strong presence in the UK and globally. We offer a dynamic and supportive work environment, with opportunities for career growth and development.

What We Offer:

  • A competitive salary and benefits package.
  • A dynamic and supportive work environment.
  • Opportunities for career growth and development.

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