Regulatory Risk and Control recruitment

Responsibilities:

The provision of regulatory analysis and advice in relation to new products (including the attendance of Term Sheet Committees, New Product Approval Process “NPAP” and Structured Transaction Approval Procedures “STAR”) business initiatives and bespoke projects.
Interfaces with stakeholders in the businesses and in Risk to identify and manage real and potential impacts that regulatory issues have on new or ongoing business operations.
Working closely with the front office teams, where relevant, in providing timely regulatory advice to ensure compliance with all relevant laws and regulations, pre-emption and prevention of regulatory breaches, and that failures and shortcomings are escalated accordingly.
Building and maintaining effective partnerships within the business.
Ensuring that Market Abuse and related Chinese Wall issues are identified and appropriately managed.
Providing an assessment from a regulatory and reputational perspective on the merits of a customer complaint and providing advice to the business and related support functions on resolving these.

Centre of Excellence:

To provide specialist regulatory advice on defined product areas and to assist the overseas Compliance Officers, thereby ensuring to the extent possible, consistency of approach on new products, policy and procedures and transactional matters.
Be a member of and contribute to one or more of the Regulatory Risk Compliance Communities.
Promote awareness of applicable regulatory standards, upstream risks and industry best practice across the business and relevant support areas including risk.
Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation.
Provides businesses and Risk leaders with expert input for regulatory policy and strategy development across the Group.

Investigations Discipline:

To engage in investigations that may be instigated internally or externally by regulators/other agencies, as well as HR investigations/disciplinary procedures concerning staff.
Assist with ad hoc regulatory investigations as directed by the Line Manager. May accompany the businesses or risk leaders in interface with regulators to provide information or respond to inquiries.

Governance:

To represent Regulatory Risk in various governance meetings (where appropriate). These include committees such as the Risk Control Committees (RCC), the Commitments Committee and various business management forums.

Regulators Regulatory Developments:

Provision of material to Group and Divisional Upstream Risk functions in respect of our clients responses to regulatory initiatives.

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