Core elements of your role include; supporting the business in all activities associated with the embedding of Conduct Risk policy control standards into Process Risk and Control Assessments; assessing the impact on the business of external regulatory change, working with key stakeholders to implement operational changes required due to regulatory change; supporting internal change initiatives, working to ensure that proposed solutions meet conduct risk policy standards and managing the provision of regulatory advice and guidance to the business on technical issues to ensure that regulations and customer impact are adequately considered, and appropriate action taken to ensure delivery of compliant processes and fair customer outcomes.
- Identifying external regulatory, conduct and impact assessment changes, communicating the change to key business stakeholders.
- You’ll support the business in implementing the changes in a timely manner.
- Providing Conduct & Compliance advice on queries and projects.
- Supporting AFS and/or Argos Ltd to ensure that all processes and activities align to the Compliance and Conduct Risk Policy, including the underlying Policy Standards, in line with the requirements of the Enterprise Risk Management Framework.
- Providing advice and guidance on business proposals to ensure that regulatory requirements and customer outcomes have been considered and built in.
- Supporting AFS and/or Argos Ltd in assessing if it is operating within Compliance and Conduct Risk Appetite (as per Board instruction), you’ll implement appropriate risk governance, the supporting framework and regulatory culture to reinforce and deliver the agreed conduct risk appetite.
- Ensuring that regulatory and conduct risks are identified and assessed under PRCA.
- Providing advice and guidance to AFS and/or Argos Ltd on the application of the Policy control standards, including core processes such as the management of risk events and risk registers.
- Providing Conduct & Compliance support in the review of Policy Standards owned by the 2nd line Risk function, advising on content, minimum standards and controls, in relation to their business processes, on matters relating to the FCA Handbook and relevant industry codes of practise.
- Supporting AFS and/or Argos Ltd in developing appropriate action plans to remediate issues with a regulatory or conduct impact and ensure that the 2nd line team are fully engaged.
- Strong communication skills. You’ll have the ability to communicate effectively at all levels, translating complex / technical issues to suit your audience.
- A good level of technical knowledge across all areas of regulatory and conduct risk, specifically the delivery of fair customer outcomes.
- As such, be able to confidently review and challenge business proposals considering the customer impact.
- Strong relationship and stakeholder management skills with proven ability to influence at a mid-senior level.
- The ability to facilitate change.
- Ability to provide support and guidance to develop controls. You’ll be prepared to challenge processes, people and activities to resolve problems.
- Good understanding of the elements of a Risk Management Framework. Ability to prioritise within a given framework and manage a small degree of ambiguity.
- Strong analytical and problem-solving skills, with the ability to reason logically.
Qualification & Experience:
- Experience working in Risk, ideally with experience of interaction with the regulator.
- Experience working within a 3 Lines of Defence model within the Financial Services industry.
- You must be able to challenge colleagues in a collaborative and constructive manner, have the courage to pose questions to ensure the right, fact-based decisions are always made, and be able to represent/understand the perspective of all internal and external stakeholders.
Vacancy Type: Full Time
Job Functions: Finance
Job Location: Croydon, England, UK
Application Deadline: N/A
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