09 Oct
NatWest
City of London
Join us as a Compliance Monitoring and Testing Manager
- In your new role, youll own and develop appropriate risk and control frameworks and independently oversee and challenge the effective management of risks and controls
- Well look to you to provide pragmatic, commercial solutions for compliance, conduct and regulatory issues
- Youll be recognised for your expertise and specialist knowledge, as you work closely with the business to gain their trust, confidence and respect
What youll do
As a Compliance Monitoring and Testing Manager, youll oversee all compliance responsibilities related to the development, maintenance and periodic re-assessment of policy and conduct frameworks.
Youll create an appropriate work environment to ensure the delivery of fair outcomes for our customers in discharging the banks responsibility to deliver good customer outcomes. All while maintaining positive and effective working relationships with senior management, risk teams and external bodies.
Your responsibilities will include:
- Monitoring and testing of controls designed to mitigate conduct and compliance risks
- Developing and managing conduct and compliance monitoring and testing function and global periodic calendar of monitoring and testing function, including timely report drafting and publication through NWM governance
- Ensuring a clear articulation and understanding of roles and responsibilities between first and second lines of defence
- Providing conduct and regulatory expertise, often in a leadership capacity to make sure the bank meets or exceeds regulatory requirements
- Promoting early engagement with teams where any change in risk policy or activity may be needed
- Making sure that all processes and procedures adopted reflect the research and interpretation of regulatory bodies rules and guidance, and industry best practice
The skills youll need
To be successful in this role, youll need detailed knowledge of local regulation, legislation and codes of practice relevant to appropriate licenses held. Youll also have the ability to interpret these to support policy and procedure development. Well look to you to have experience of interacting with regulators, and hosting regulatory on site visits, along with excellent interpersonal skills, and good verbal and written communication skills.
In addition, youll need:
- Extensive knowledge of financial markets services gained from operating within a compliance or assurance function
- The ability to source and assess multiple data and information points to help make risk-based decisions and solutions
- The ability to work with colleagues at all levels, with good influencing, listening and questioning skills
- Experience of report writing at all levels, including executive and board, and the ability to verbally deliver and discuss the content
▶️ Compliance Monitoring and Testing Manager
🖊️ NatWest
📍 City of London