Head of Business Risk and Control Management

4 weeks ago

London UK, UK, United Kingdom IPOE Consulting Full time

International Bank based in London, are looking to recruit a new Head of Business Risk and Control Management. Reporting into the Chief Operating Officer, the Head of Business Risk and Control Management is accountable for driving the effective governance and management of non-financial risks in the 1LOD across all aspects of the bank. The incumbent will be responsible for performing internal control and first line assurance as detailed in the responsibilities listed below.


Main responsibilities will include;


  • Risk & Control Advisory: Pursuant to the tenants of Customer Duty and other appropriate regulations, liaising with Risk and Control owners and their Function or Area to provide proactive advice and input on key decisions, ensuring Risk and Control owners are accountable, enabling them to clearly articulate and manage the risk profile of a process, demonstrating active, robust non-financial risk management to key stakeholders (including the 2LOD, 3LOD, Regulators, Group and other key stakeholders), and traversing between other similar teams within the Group.
  • Risk & Control Lifecycle, Reporting, and Regulatory: Focused on articulating the Risk and Control environment to key stakeholders; managing issues, actions, and events; providing credible challenge and robust oversight to Continuous Monitoring Plans and Risk and Control Assessments; creating governance materials, reporting framework, and creating materials demonstrating active, robust non-financial risk management to key stakeholders and board papers for relevant Risk and Control 3 Management Meetings and business-wide forums such as the Business Risk Control forum and the Corporate Banking Risk forum.
  • Initiatives, Control Design, and Remediations: Focused on performing end-to-end standard and thematic risk reviews of processes, identifying new risk and control themes and trends, owning special projects (e.g., NPPA), identifying and executing on opportunities to re-engineer inefficient processes and controls to be automated, preventative, and sustainable, identifying continuous improvement opportunities, utilising and promoting utilisation of analytics to identify issues, and assisting with implementations of changes to frameworks.
  • Single Point of Contact: facilitate the completion of all policy and procedure documents and manage governance of new products or processes (NPPA).
  • Third Party Risk Officer: The ex-officio EXCO member, responsible for providing specialist expertise on Third Party, Business Information, and Affiliate Risk ensuring regulatory requirements and monitoring requirements are met.
  • First Line of Defence (FLOD) Testing: Develop test scripts and perform 1st line sampling testing to validate processes across business lines; develop, and agree corrective and preventive measures to control weaknesses, and track to resolution; develop and maintain a control assessment framework including dashboard reporting, MI on controls and monthly tracking on 1st Line assurance key metrics.
  • Operational Resilience: The coordination of adherence to the regulatory standard to align risks and service stability and recovery to customer expectations and market normative quality and ISO standards.
  • CASS: Safe custody framework, controls and assurance reporting and management.
  • Assist with the co-ordination of the annual internal and external CASS audits; and support with CASS testing on a periodic basis.
  • Maintain and review the CASS Resolution Pack to ensure completeness and suitability.
  • Prepare CASS management information for periodic Committees or meetings.
  • Attend governance meetings as required and ensure minutes, and action logs are maintained.
  • Ensure CASS breaches, incidents or near misses are appropriately recorded, reported, and escalated and root cause analysis is conducted to prevent future recurrence.


To be considered for this position, ideal candidates must have the following experience & skills;


  • Preferably degree educated or equivalent, with a minimum of 5 years of previous experience gained within a similar CASS and Control role in Banking or Financial Services.
  • Strong knowledge private banking business and non-financial risk management frameworks are preferred.
  • A sound working knowledge of PRA and FCA specifically Client Asset (CASS) expectations and rules.
  • Excellent attention to detail, problem solving and analytical skills; able to build up proactive working relationships with stakeholders across varying departments.
  • Good understanding of operational processes across various banking processes and procedures.
  • Excellent interpersonal and verbal skills and must be able to work in a multi-disciplined team.
  • Exceptional time management skills with the ability to thrive whilst working under pressure.
  • Experience in managing a team delivering high quality output suitable for regulatory delivery.

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