Conduct & Culture Office - Maternity Cover

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    Contract / Interim

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  • Published:

    9 months ago

  • Duration:

    6 months

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Breach investigation and reporting

  • Managing the internal breach investigation and reporting framework across EMEA

  • Managing the Compliance Breach Review process, including presenting and reporting on Compliance identified breaches to the Compliance Management team

  • Manage the monthly reporting of breaches to functions and divisions across the firm

  • Perform quality assurance reviews of the breach data provided by control functions, manage the resolution of data quality issues identified through engaging with divisional Conduct leads, and update guidance as required on expected standards

  • Maintenance of the firms breach KRI list

  • Perform periodic reviews with businesses and functions of the KRI's, associated controls and KRI data providers

  • Managing the framework and the process for escalation and reporting of policy breaches to HR for input into performance and consequence management

  • Minuting the key decisions and actions taken at key governance meetings managed by the Conduct Office

  • Produce Management Information for Operational, Executive and Board level Committee's on breach trends and root causes across the firm

  • Managing ad hoc requests for breach data

  • Manage enhancements and changes as required to the firms breach reporting framework

  • Provide ongoing training to control functions on the adoption of the regional breach management framework

  • Support control functions with individual investigations (where required) ensuring consistency of the adoption of the regional breach management framework

Conduct Governance and Reporting

  • Supporting the collection and aggregation of conduct related reporting from across businesses and functions providing input into Operational, Executive and Board level governance

  • Supporting with the production of ad-hoc reports and updates for relevant Committees

  • Supporting with the tracking and oversight of Conduct & Culture related initiatives


Skills, experience, qualifications and knowledge required

  • Governance and Reporting

    • Strong understanding and experience in governance and reporting of Conduct Risks & Non-Financial Risks within a business as usual setting

  • Conduct & Culture

    • Experience working within a Conduct Risk or Culture team setting within financial services

  • Investment Banking Domain Experience

    • Experience working within the Investment Banking industry

    • Good investment banking product and market knowledge

    • Front to back awareness of processes within an investment bank

  • Slideware

    • Highly experienced in facilitating and producing executive level communication in PowerPoint

  • Change Management

    • Business analysis and change background with a proven history of success

    • Clear understanding and experience of implementing and enforcing change initiatives

    • Knowledge of change management processes, methods and procedures

  • IT Development & Architecture

    • A working, functional knowledge of investment banking systems and technology

    • Highly experienced with Microsoft Excel and PowerPoint

  • Interpersonal skills

    • Ability to build relationships and work with others through influence

    • Ability to interact confidently with front office / control function staff and be comfortable handling challenge

    • Ability to manage conflict and navigate to a resolution

    • Ability to proactively manage competing priorities, work well under pressure and maintain confidence and professionalism

  • Technology development experience

    • Experience working with technology through the development lifecycle is preferable but not essential

  • Consulting experience is desirable but not essential