Purpose of the role:

To assist and review regulated entity authorisations applications to oversee that they are valid, complete, and compliant with all applicable policies and procedures. Investigating and raise unauthorised regulated entity incidents potentially operating outside of its licence.

Accountabilities:

- Identification and assessment of potential risks associated with regulated entity authorisations and implement risk mitigation strategies to safeguard the banks and its customers interests.

- Investigation of potential incidents of unauthorised regulated activities and recommending corrective actions and process improvements.

- Provision of training to colleagues on how to request UK entity authorisations.

- Management of the single depositary (Global Entity Authorisations Register) of regulated entities authorisations status and its licences data by reviewing and approving or denying access requests, as well as maintaining accurate records of all authorisations.

- Development and implementation of regulated entity authorisation policies standards and procedures relating to regulated entities business activities and licences.

- Development and implementation of authorisations controls supplementary to Business controls.

- Provide SME advice and assistance across bank's on matters that relating to UK Authorisations requirements and internal bank's governance requirements.

Vice President Expectations:

To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures.

If managing a team, they define jobs and responsibilities, planning for the department's future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements.

Key Responsibilities:

- Lead governance of all global licenses, permissions, waivers, exceptions, and registrations.

- Oversee the end-to-end lifecycle of authorizations including applications, renewals, variations of permission, cancellations, and regulatory submissions.

- Oversee and manage periodic license attestation and related stakeholder communication.

- Ensure accurate global license mapping and data integrity across compliance tools.

- Direct regional workshops to identify gaps in licensing coverage and manage decomposition of new or unidentified permissions.

- Act as senior compliance lead for all cross-border working groups (Reach-in, Fly-in/Fly-out, Operating Model Working Groups).

- Oversee alignment of cross-border controls with program deliverables.

- Review risk assessments for complex cross-border activity across global jurisdictions.

- Provide expert challenge on country-level regulatory requirements, restrictions, and governance.

- Lead annual policy and standard refresh cycles.

- Drive end-to-end standards including documentation review, Glossary refresh, Process write-up, control testing, F2B validation, pen testing, and readiness assessments.

- Ensure all controls and RCSA question sets relating to licensing/cross-border are accurate, updated, and embedded across business units.

- Represent in key governance forums including: License-to-Operate Governance Group Forums, Periodic Compliance SteerCo, Cross Border IGF, Weekly Controls Working Group, Global Governance Forums, and Legal Entity Booking Model Governance Forums.

- Present regulatory updates to global stakeholders and interface with regulators as required.

- Build strong partnerships with Legal, Controls functions, Frameworks team, Business Oversight Compliance, Finance, and Business management.

- Oversee and manage migration and uplift of complex data sets as a part of automation and system enhancement.

- Ensure governance over critical data elements including regulator lists, triggers, mapping, and inventories.

- Maintain SharePoint governance and knowledge repositories.

- Oversee the implementation of TOM & RACI models across compliance and business units.

- Provide training, upskilling and guidance to compliance team members across regions.

- Manage distribution lists, group mailboxes, and build operational clarity across global teams.

- Support transition planning and knowledge transfer during team changes.

Qualifications:

- Extensive experience in regulatory compliance, preferably in licensing, cross-border governance, and Entity Authorization.

- Deep understanding of global regulatory frameworks in financial service segment.

- Proven ability to lead large governance programs and multi-region regulatory initiatives.

- Strong analytical capability to interpret complex regulatory datasets.

- Exceptional stakeholder management with senior executives and regulators.

- Experience leading policy/standard refresh cycles and control framework implementation.

- Ability to manage high volumes of data with accuracy and strategic insight.

- Strong communication, influence, and leadership skills across matrixed organizations.

- Bachelor's degree in law, Finance, Business, Risk or related field (Master's preferred).

- Professional compliance or regulatory certification desirable.