Associate Director, CIB, CFCR, Compliance Risk Governance

Job Summary

The role sits within the Compliance, Financial Crime (CFCR), and Conduct Risk team. Specifically supporting the Corporate & Investment Banking businesses. The team is part of the global advisory team working with Business, COO, and Risk stakeholders. The role Supports the strategy and direction of the CFCR department, providing oversight and challenge of the CIB businesses, and provides support for ongoing risk assessment and Non-Financial Risk management.

The role will primarily work with the advisory teams on Policy and Standard implementations and effectiveness with our first line stakeholder. Supporting second line Risk Owners in overseeing their defined areas of responsibly across CIB. The team will also support remediation efforts across the businesses to ensure CIB remains within risk tolerance.

Insofar as they relate to compliance and conduct, I am responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (in line with the bank risk appetite definition and thresholds) may occur and notifying any such breaches to (as appropriate):

• Head, CFCR Advisory, FM, Ctrls & Regulatory Implementation
• Head, CFCR Advisory, Regulatory Implementation
• Relevant Business CFCR Advisory
• Relevant Heads of Business / COO’s

For regulatory change, I will be responsible to support the Pan CIB business by working with the business on the identification and implementation of regulatory requirements for the relevant CIB business to comply such requirements.

My responsibility does not encompass the operation of information technology systems used to implement any policies and procedures, which is the responsibility of the Group Chief Information Officer and does not encompass fraud (but includes Rogue Trading), prudential, market, credit risk, outsourcing or cyber related matters or any other Compliance Risk Sub-Type where the Functional Owner is not CFCR.

• To help the Group meet its commitment of being "Here for good" by building a sustainable framework that places Compliance, Financial Crime & Conduct Risk best practice standards, at the forefront of the Group's agenda.
• As an independent second line risk control function, to execute the relevant aspects of the Compliance& Conduct Risk PRTFs through robust independent risk control and the provision of specialist advice and constructive challenge on cross-cutting in a manner proportionate to the nature, scale and complexity of the Group's CIB businesses.
• For the evaluation and assessment of the effectiveness of the Group's Compliance, Financial Crime & Conduct Risk commitments and requirements.
• To proactively support and challenge the Group's businesses and supporting functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group's clients.
• For maintaining independence, delivering timely responses, and timely escalation of risks and issues where the management tolerance of the firm is exceeded.
• For maintaining constructive and effective stakeholder relationships with the relevant business and supporting functions.

For supporting the management of regulatory relationships with all of the Group’s regulators, whose rules the Group is subject to.

Support and implement the vision, strategy, direction and leadership for CIB CFCR, consistent with Head, CFCR Advisory, FM, Operations, Controls vision and strategy for the Compliance function and in support of the Bank’s strategic direction and growth aspirations.

• Develop a comprehensive understanding of the business model and strategy in order to provide substantive oversight support and challenge in order to enable appropriate and sustainable CFCR outcomes.
• Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality conduct, financial crime & compliance-related advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
• Provide…