AC
Job Description
- Development of compliance related policies and procedures
- Development of Compliance Risk Assessment Framework
- Developed compliance indicators for monitoring of key compliance requirements
- Preparation of Compliance testing plan and performing compliance reviews
- Preparation of Compliance dashboards and reporting
- Compliance Advisory on specific banking divisions or products.
Skills / Experience
- Creation and maintenance of conduct risk management framework, and where necessary
- enhance the procedures and systems relating to the management of conduct risk to
- ensure that the Boards risk appetite and all regulatory requirements are met.
- Communication of the conduct framework requirements, policies and procedures through
- reporting and delivering appropriate training for relevant business teams.
- Maintenance the conduct risk assessment methodology, perform assessments, conduct
- related due diligence and identify and implement appropriate controls to mitigate risks
- identified.
- Preparation and implementation of Boards risk appetite relating to Conduct Risk is
- implemented throughout the business.
- Maintenance and enhancement, where necessary, of the Conduct Risk Framework,
- considering any emerging conduct risks and regulation.
- Provide advice and training to the business in respect of conduct risk issues.
- Oversee and carry out conduct risk controls, monitor the business for conduct risk issues
- and support conduct risk projects.
- Ensure appropriate conduct risk management information (MI) is made available to the
- relevant governance bodies within the business on a timely basis.
- Analyse conduct risk MI and undertake root cause analysis in respect of complaints.
- Circulate market updates and guidance in relation to conduct risk matters, as necessary,
- liaising with the Compliance Officer/Compliance team to provide a unified response to the
- business in respect of regulatory requirements relating to consumer and high conduct risk
- business / codes of best practice and regulatory developments.
- Oversee complaints handling and management
- Prepare reporting packs for Senior Management and Board for Conduct Risk.