Assistant Vice President - Conduct & Compliance Risk - BFS

Description:

Purpose of the role

- To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with legal, regulatory and ethical responsibilities.

Accountabilities

- Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.

- Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.

- Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.

- Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the banks internal policies are aligned with international standards, including jurisdictional requirements.

- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.

- Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Key Accountabilities:

- The production of functional governance reporting materials and supporting inputs into governance reporting.

- Supporting to prepare the CCO for all engagements, including briefings and creating material for board, executive and regulatory audiences.

- Supporting in overseeing and managing the flow of information across BBPLC Compliance to ensure the CCO is informed and understands the views of the BBPLC Compliance organization.

- Working with the CCO to manage BBPLC Compliances organizational design, budget and hiring.

- Supporting the CCO in identifying and managing key priorities for the BBPLC Compliance team, driving the agenda, tracking actions and deliverables to ensure timely resolution and forward momentum.

Basic/Essential Qualifications:

- Excellent writing and presentation skills, able to quickly process and synthesize complex or sensitive matters down to succinct and accurate summary/key messages for executive management.

- A deep understanding and practical experience of Governance and Reporting, including related information flows and processes, with experience of assessing risk.

- Ability to work autonomously, to priorities, plan and organize work efficiently and effectively to deliver promptly and reliably and be one step ahead of the CCO.

- Able to exercise independent thought, and influence and challenge Senior Stakeholders, including an ability to confront conflict and difficult issues in a professional, assertive and proactive manner while remaining sensitive to business needs.

- Intellectually curious and a self-starter.

- Creative mindset with a strong interest in strategic projects.

- Exceptional Word, PowerPoint and Excel skills.

Desirable skillsets/good to have:

- A broad and sound knowledge of the financial industry, able to grasp new technical topics quickly.

- Considerable experience in the formulation and implementation of strategic initiatives.

- Experience of Compliance, Conduct and Reputation Risks and the related control environment.

- Track record of successful delivery of change and improvement programs.