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Conduct Risk Senior manager

Employer
Holmes Search
Location
UK
Salary
Competitive
Closing date
26 Jun 2022

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Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
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London based Mid Cap IB looking to appoint an experienced Conduct Risk professional to work with the business and compliance stakeholders to develop the conduct risk framework and advise on Conduct Risk requirements.

Responsibilities including, but not limited to:
  • Maintaining the Conduct Risk Framework by:
  • Periodically reviewing the effectiveness of the Conduct Risk Framework, including:
  • Conduct Risks: ensuring the articulation and rating levels of the risks are maintained.
  • Controls: ensuring all controls relating to Conduct Risk are periodically reviewed and enhancements identified as required.
  • Policies and Procedures: ensure all related policies and procedures are periodically reviewed and appropriately address Conduct Risk
  • Reviewing the effectiveness and embeddedness of the Conduct Incident Management Process
  • Bi-annually evolving the Conduct Risk metrics with the business and functions
  • Facilitating/supporting discussions on the Conduct Risk themes


  • Sustaining the Bank's understanding of Conduct Risk by:
  • Supporting the delivery of bank-wide Conduct Risk Training (e.g. Corporate Induction)
  • Maintain the current channels of communication (e.g. Conduct Risk Intranet, Conduct Risk Mailbox)
  • Working with the accountable SMF, CREF & CCC Secretariats to identify and deliver additional training and communication requirements


  • Liaising and managing key stakeholders including:
  • Working with the sponsor and accountable SMF to define the strategy
  • Briefing and gathering feedback from key stakeholders on approach and plans
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