Conduct & Culture Officer (UK Financial Markets) Conduct & Culture Officer (UK Financial Markets) …

Natixis UK
in London, England, United Kingdom
Permanent, Full time
Last application, 27 Feb 20
Competitive
Natixis UK
in London, England, United Kingdom
Permanent, Full time
Last application, 27 Feb 20
Competitive
Conduct & Culture Officer (UK Financial Markets)
Company Description
Welcome to Natixis

At Natixis, we create tailor-made solutions in asset & wealth management,
corporate and investment banking, insurance, and payments, with over 16,000 staff members in 38 countries.

Our Employees:
As an equal opportunity employer, Natixis is keen on promoting all talents and empowering our employees to evolve, grow, and take ownership of their careers. We strongly believe that our people are our greatest assets.

Our Ambition:
To keep moving forward collectively, to better serve our clients, and to provide
them with best in class solutions for their growth.

Your Impact:
We strongly encourage every employee to foster change and we seek to give the opportunities to make a true impact.

What we can offer:
At Natixis, you have a great opportunity to join an entrepreneurial, agile and growing organisation, and to be part of an inspiring team.

Job Description
Overall purpose of the role:
The Senior Conduct Officer is in charge of embedding the FCA Code of Conduct principles, guidance and best practices and the Natixis Code of Conduct into Natixis UK Branch operating framework, and in alignment with Natixis global Conduct and Culture approaches and framework.
In Change mode,
    • Coordinate the UK Conduct & Culture Enhancement Programme, in alignment with Natixis values, conduct and culture approach, framework, and in line with FCA's expectations
    • Organise, perform and maintain the Conduct Risk Assessment of the Natixis UK branch activities ; define evaluation methods and define priorities,
    • In coordination with Support and Control functions, assess key conduct controls and identify gaps ;
    • Develop Key Conduct MI to allow management to develop a clear view of areas displaying key conduct risks
    • In collaboration with Business, Support and Control functions, develop improvement action plans
    • Define, organize and prepare Conduct governance
    • Support the change in culture and behaviors through the preparation and facilitation of training
    • Develop best practices to embed Conduct assessment in the change and strategy management of Natixis UK branch
    • Upgrade Natixis UK policies, guidelines or instruction manuals embed good conduct practices.
    • Establish ways of working with internal stakeholders, and in particular the head-quartered Global Head of Conduct & Culture, GM Head of Conduct & Culture, and permanent supervision teams.

In Run mode,
    • Coordinate LOD1 supervision and deliverables across the global business
    • Ensuring adherence to local supervisory procedures, whilst maintaining global consistency of approach where appropriate
    • Embedding of the supervision framework across business lines through training programs, regular updates and targeted communication plan, etc.
    • Ensuring associated regional policies and business procedures are continually reviewed and where necessary kept up to date
    • Monitoring of key control indicators and dashboards to ensure relevant supervisors are adhering to supervision requirements and escalating issues to Senior Manager
    • Working closely with GM supervisors and senior management to ensure "path to green" remediation plans are created to address control weaknesses identified through spot checks, audit reviews, RCSA, non-Compliance reviews and monitoring, or internal/external risk events
    • Refresh and update Conduct risk assessments, and challenge the effectiveness of the first line of controls on conduct risk
    • Facilitate local Financial Conduct risk governance
    • Contribute to the identification and management of non-financial risks
    • Contribute to management presentation, town hall, branch messages, to keep raising awareness on conduct
    • Watch for industry updates benchmarks on Conduct risk management best practices, feedback from FCA conduct programme, integrate lessons learnt from industry incidents/fines/adverse news, and adapt Natixis UK branch if and when relevant.


Required Skills/Qualifications/Experience
• Working practice in an Operational Risk Management or Internal control function in the financial industry
• A practical understanding of regulatory and supervision standards and requirements including experience of working with key risk indicators, governance, and multiple areas.
• A strong understanding of investment banking products and services including Equity and FICC Trading, Sales, Origination and Research, processes and the associated controls
• An ability to remain objective and to independently raise areas of risk exposure

Competencies
- Possess good interpersonal skills (daily relation with senior management), and in particular capacity to interact at different level of the organization
- Excellent analytical skills, capacities to articulate conclusions based on data; while displaying pedagogy and explain the mindset behind conduct risk identification and management
- Curiosity and genuine interest in the business, and in the industry in general, with capacity to conduct challenge in a pragmatic way
- Capacity to maintain confidentiality of information
- Presentation skills (Excel, PPT).
- Autonomy
- Rigorous & well organized
- Ability to work under time pressure
- Attention to detail

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