Compliance Control Room Systems & Operations Associate
Join us as a Compliance Control Room Systems & Operations Associate
What you'll do
- In this role, you'll identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the bank's information barriers
- You'll help the NWM Control Room with the maintenance of the marketing, watch and global restricted lists, as well as advising on the appropriate policies and procedures to identify and manage conflicts
- This is an opportunity to develop effective and sustainable working relationships across the business and with peers to support the sharing of best practice and addressing of common issues
- This role is open for applications from Thursday 19th March and closes on Thursday 16th April 2020
- This role comes with a competitive salary + 10% Pension Funding
As a Control Room Officer, you'll manage all the system and process changes affecting the transactional conflict clearance, MPC (Manage Personal Conflicts, for employee conflicts), PAD and G&E workflows , as well as reviewing and assessing the aligned business processes and providing conduct advice through a focus on customer outcomes.
We'll look to you to improve business processes to encourage positive customer outcomes, higher standards and risk reduction, along with encouraging an environment of knowledge sharing, experience and support.
On top of this, you'll be:
The skills you'll need
- Providing expert support and advice to the business on the management of risks and providing guidance on regulatory policy and conduct risk, liaising with more experienced team members when required
- Analysing the full product lifecycle from product design to post-sales review, business initiatives, bespoke projects, transactions and investigations, escalating the most complex problems to senior colleagues
- Acting as a subject matter expert and building and maintaining strong relationships with the aligned business, providing timely and high quality regulatory advice
- Supporting a consistent and effective approach to conduct and regulatory risk assessment with a focus on positive customer outcomes
In this fast-paced environment, you'll need the ability to demonstrate an appreciation for positive customer outcomes and to be able to clearly articulate regulatory requirements. You'll also benefit from an analytical and enquiring mindset, with the ability to develop a range of options and present these in a compelling way at the appropriate level for stakeholders.
Additionally, you'll need strong working knowledge and understanding of approval workflows for control room tasks, and strong knowledge of CSS platform conflict management, personal account dealing, gifts and entertainment, and MPC processes. You'll also need experience of establishing and embedding new control room systems, as well as strong experience of dealing with technology teams when implementing changes to control room systems, and clear experience of training and developing colleagues in control room systems.
You'll also bring:
- Good planning and organisational skills with the ability to prioritise effectively
- The ability to champion change and to influence the activities of peers
- Knowledge of the relevant regulations and conduct policies
- An understanding of how regulatory, political, reputational and environmental issues impact the business
- Knowledge of the regulatory environment, divisional frameworks and conduct risk management principles