KIND CONSULTANCY

Responsibility

• implementing and sustaining the Risk Management framework, supporting policies and procedures and raising awareness to stimulate positive Risk Management behaviours
• managing and supporting the Risk Officer, ensuring they are effectively deployed and have the resources they need
• growing and developing a team of Fraud and AML Analysts, through coaching, team feedback and regular communication
  Show more +40
• setting and reviewing performance standards in line with governance frameworks and scheme outcomes
• overall accountability for the delivery of the Transformation Book of Work, aligned to strategic priorities
• overall ownership of the project of embedding a risk-aware culture across the business
• ensure analysts are adopting best practices and sharing knowledge, through regular oversight of their work
• acting as an escalated referral point and subject matter expert for all Financial Crime related enquiries from across the business
• supporting the integration of risk-based principles into our culture to complement the risk management framework by translating risk-based approaches into operations
• owning and delivering Continuous Improvement and acting as Business Lead for transformation and change
• liaising with the AML team on any emerging threats or suspicious activity
• owning and leading on the Resolution Board, ensuring the delivery of the strategy and ensuring processes are operationalised
• supporting the Group Head of Compliance with the preparation of risk reporting MI
• developing medium-term strategy for Resolution ensuring it aligns with scheme outcomes
• ensuring that all transformation and change initiatives adhere to the defined change framework including templates and reporting processes
• reviewing and improving the current Risk Strategy and Risk Appetite framework
• effectively managing senior stakeholders ensuring the Resolution business area is visible and understood
• ensuring that all transformation and change initiatives fully assess the impact of regulatory obligations, including Consumer Duty, TCF and Data Protection/GDPR
• assessing and, where possible, quantifying the risks that are captured
• owning and managing the capacity plan and budgets for Resolution ensuring it is adaptable to respond to future requirements
• developing and leading on Risk Surveillance activities to identify emerging trends where threats and opportunities warrant deeper scrutiny and reporting - Risk Assessment and Reviews, including statutory and regulatory, corporate governance , commercial, products and services, operational risk, conduct risk etc
• ensuring risk, critical models and controls are managed effectively across all products, that control testing is effective and that remediation actions are implemented to agreed deadlines
• ensuring that all project management documentation is accurately completed, maintained and stored during the project life cycle
• reviewing the risk training suite, ensuring delivery of mandatory risk training
• assisting the Head of Operations in managing new Transformation Book of Work requests and continually looking for opportunities to enhance the Business Transformation framework
• leading and maintaining high-quality stakeholder engagement with senior leaders for the group delivering the high-quality outputs to flow throughout the Governance, Risk & Compliance programme
• developing the Enterprise Risk Management Framework in line with industry best practices, accommodating all relevant regulations including the FCA and PRA regulations
• effectively leading the Resolution Team Managers, including performance management , development of direct reports and ensuring effective operating rhythm across the Resolution teams
• chairing project meetings and workshops to drive the required activities by individuals, teams, external parties etc
• acting as a "Change Agent" for business transformation, providing support and coaching on the principles and methodology relating to securing and structuring a new project
• supporting the Head of Governance, Risk & Compliance in delivering robust governance frameworks to support the business's strategy and help to achieve goals
• reviewing risk management policies, including objective oversight of those written by other stakeholders
• holding operational responsibility for the business's relationship with external Fraud management tools relating to frauds, assisting with customer screening including Sanctions and PEP checks
• collaborating with stakeholders to define the scope, objectives, deliverables and benefits of each project, ensuring that the change management framework is adhered to and appropriate documentation is completed and approved
• proactively identifying risks, issues and dependencies and ensuring these are managed appropriately, with regular reporting to stakeholders
• managing the centralised risk reporting MI and conduct benchmarking and calibration of risk scoring to ensure alignment of all reported risks that flow into the forums outlined in the Corporate Governance Framework and Risk Management Frameworks
• reviewing the current Risk Management reporting suite, and aiming to improve the quality of information provided, whilst continuing to ensure timely delivery of reporting materials
• building and embedding an Emerging Risk framework
• developing and maintaining project delivery plans, tracking progress against key milestones and providing regular updates and reports to stakeholders in an agreed format
• ensuring control and risk owners are identified and are engaged and that independent challenge can be brought to the business in a collaborative manner
• maintaining and improving Fraud analysis models, increasing the effectiveness of Fraud identification, including processes, and systems relating to in-life management, account acquisition and contract end
• managing the activities of the Business Transformation Co-ordinators
• supporting the broader Financial Crime team with AML and Dealer Onboarding activities across the business including aiding the MLRO and Deputy MLRO in establishing and performing AML and Financial Crime monitoring

Earnings for position manager

Responsibility

• providing compliance support, including regulatory advice and guidance, to the business
• interpreting FCA rules and regulations and translating these into compliance policies and guidance and support
• leading thought on the development, implementation, communication and review of Compliance Policy
  Show more +24
• assisting in the implementation and maintenance of the business's risk management and compliance assurance frameworks
• acting as a compliance representative on key business change and development programmes
• being a key stakeholder in the implementation and embedding of Consumer Duty regulations
• conducting compliance monitoring and testing activities including writing reports that present monitoring results, capturing findings and actions
• delivering compliance-related projects or compliance elements of wider business projects
• providing robust advice and challenge to satisfy the Compliance role as Risk Steward
• maintaining an up-to-date horizon scanning matrix and a current awareness of all relevant legislation and market best practices
• ensuring the proper and timely reporting of identified incidents related to compliance and monitoring of progress
• working closely with the second line function to deliver on the regulatory requirements of the bank, ensuring that all mandatory legal and regulatory changes are effectively implemented
• overseeing and implementing policies in relation to regulatory reporting and communication of exceptions to policy through the governance framework
• providing independent advice, oversight and challenge of risk management practices across GFX Sales and Trading within the Markets & Securities Services businesses, obtaining reasonable assurance that they are operating in line with relevant laws, regulations, codes and internal standards
• working closely with the Data Protection Officer and second-line functions to ensure that processing of data is compliant with GDPR/DPA 2018
• aiding the Compliance Director in developing an annual compliance plan, outlining high-level deliverables and timings and delivering the plan in line with these
• providing Compliance advice to support to coverage of the GFX business, in particular but not limited to industry standards and regulations that are relevant for MSS such as MiFID, MAR, DFA
• leading and chairing the Bank's Compliance forum in line with governance, developing quality documentation to assess their compliance against key regulations
• maintaining an up-to-date knowledge of regulatory and legislative changes and providing advice to enable the business to implement changes and operate in a compliant and controlled manner
• undertaking reviews in accordance with the compliance plan, assessing the effectiveness of conduct risks and regulatory control processes to assess the delivery of intended business and regulatory outcomes, including adherence to regulatory and company standards
• keeping up-to-date with external regulatory requirements and ensuring that the policies followed by the network are up to date and reflect the organisation's risk appetite
• fostering strong working relationships with GFX Chief Control Office and Chief Operating Office, Sales and Trading staff and management to support and review business control framework and governance forums
• providing advice and guidance relating to compliance matters to the business, including key contact for the complaints and claims team
• co-ordinating the maintenance of the Conduct Risk Dashboard, ensuring that the business has appropriate KRI measures in place to assess exposure to conduct risk and compliance to regulations
• designing and producing policy materials, guidance, briefings and communications required to fulfil new and changing compliance requirements and to embed a compliance culture
• assisting the business in evaluating or investigating and in causal analysis of specific compliance issues, breaches or Business Incidents as required
• has good knowledge of Treating Customers Fairly Principles and delivery of fair customer outcomes and a sound understanding of the FCA’s expectations in relation to the treatment of vulnerable customers

Earnings for position compliance manager

Responsibility

• reviewing Commercial Mortgage lending opportunities and providing indicative terms
• providing cover to Business Development Managers including telephone and email support for Bank Panel Brokers
• undertaking regular chasing of cases in the Commercial Mortgage pipeline
  Show more +10
• managing the onboarding of new to Bank introducer firms
• providing first-line support to panel introducer firms through being a product expert and being able to articulate the Bank’s current lending appetite
• assisting in managing the Bank’s Introducer Panel including review processes
• handling inbound calls and making outbound calls to develop new business, and resolve issues for existing brokers, potential brokers, and potential customers
• organising and participating in regional events and corporate gifts
• working closely with the Lending Support Team to progress approved cases through to completion
• handling Customer Services inquiries and liaison with the department to help improve the quality of information sent through and education of call handlers
• supporting the creation of meaningful and actionable Management Information
• liaising with marketing for tombstones, profiles, and product/policy changes
• monitoring competitor activity and providing feedback to management

Earnings for position business development manager

Responsibility

• reviewing, updating and recommending for approval to the Board, the Corporate Governance Policy Statement, the Terms of Reference, annual meeting dates and other documents as required
• providing internal governance advice to all Board, Board Sub-Committees and Board Management Committees on the Terms of Reference to ensure all decisions and discussions fall within their remit
• assisting with the production of the Annual Report and Accounts and Summary Financial Statement using Adobe Acrobat
  Show more +6
• ensuring that the Board and Executive are advised, and kept up to date, on their Statutory, Corporate Governance and other duties as specified in the PRA/FCA Rulebooks and other relevant legislation, regulation and good practices
• tendering, managing and recommending for approval on a tri-yearly basis, a Board Effectiveness Review collating any actions and presenting updates to the Board on a quarterly basis
• calling and taking minutes of meetings of the Board, Board Sub-Committees, Board Management Committees and Annual General Meeting as appropriate ensuring that all necessary supporting documents are available
• producing monthly Board, Board Sub-Committees and Board Management Committees papers including; Committee Evaluation Summary and Results, Board Agenda Timetable and Board Training Plan
• developing and managing the Schedule of Policies; and the agendas for the Board, Board Sub-Committees, Board Management Committees and Strategy Day event; finding appropriate external speakers where required
• supporting with the arrangement of the Annual General Meeting ensuring that all documentation is compliant and issued in accordance with the timeframe set out in the Building Societies Act 1986 including managing the relationship with the chosen designer and scrutineers; tendering where necessary

Earnings for position company secretary

Responsibility

• ensuring Member firms are up to date with audit requirements and implementing any changes required
• supporting the monitoring of the 'Minimum Standards’ across the membership
• checking and auditing applications from new Members
  Show more +7
• supporting the growth and sustainability of the Membership through the promotion of professional standards
• contributing to a culture of training and development through educational initiatives and support of the organisation's training platform
• acting as a Subject Matter Expert on Compliance Standards matters
• understanding what members require in terms of compliance support
• contributing to controls and monitoring adherence to the organisation's minimum standards by member firms
• determining appropriate remedial actions and ensuring their implementation in order to maintain and raise compliance and professional standards
• supporting the company's requirements for the delivery of the compliance operation and for its future development

Earnings for position compliance officer