Compliance Risk Management Lead

4 weeks ago

London, Greater London, United Kingdom NatWest Markets Full time

Key Responsibilities

We are seeking a Compliance Risk Management Lead to join our team at NatWest Markets.

Key Responsibilities:

  • Lead regulatory compliance and conduct insight, oversight and challenge.
  • Deliver: Market abuse risk assessments and annual compliance risk assessments.
  • Provide expert support, advice, MI and escalation to leaders and the business on risk management.
  • Support: NatWest Markets venue governance and controls, including advising on rulebooks.
  • Take on a high profile and influential role as you join a team with high standards and a passion for delivering excellent outcomes for our business, colleagues and customers.

What You'll Do

As a Compliance Risk Management Lead, you'll be supporting executives in making sure that the business strategy for the relevant business units is consistent with and supports an effective regulatory framework. You'll also be supporting executives on regulatory engagement in relation to relevant matters relating to customer franchises and business units.

On top of this, you'll be:

  • Providing the business area with technical advice on the interpretation of regulatory and venue rules applicable to the function and their impact on its operating model.
  • Supporting the business area's approach to objectively measuring and quantifying the conduct risk profile and embedding it in front line processes.
  • Working within the parameters of a second line of defence risk function, providing constructive and impactful support, and challenge to business stakeholders on the conduct risk appetite framework and strategy.
  • Owning stakeholder relationships to make sure that there's an early understanding and buy-in of conduct risk appetite activity within the business.
  • Delivering credible, informed and insightful conduct opinion into culture and risk assessment programmes, as well as remuneration and performance management processes.

Requirements

To succeed in this role, you'll need strong financial services experience, preferably in banking and regulated firms in the conduct risk environment. In addition, you'll need broad technical knowledge of products, services and regulations relevant to a large retail and wholesale organisation.

You'll also demonstrate:

  • Knowledge and experience of providing regulatory and technical support and advice to senior management.
  • The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI.
  • A track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline.
  • Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills.
  • The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated.

About Us

NatWest Markets is a leading financial services organisation with a strong presence in the UK and beyond. We're committed to delivering excellent outcomes for our business, colleagues and customers.

Our Values

We value innovation, collaboration and integrity, and we're looking for someone who shares these values and is passionate about making a difference in the financial services industry.

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