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Job DescriptionJob title Manager, Risk & Compliance Team Risk and ComplianceBand Band 6 Reporting to Non-Financial Risk DirectorManagement responsibility Not Applicable
Purpose of the job
Manage the Group’s Policy Governance process, monitor compliance with key conduct policies, implement and maintain the mandatory staff training programme.
Main duties
Manage and coordinate the Group’s governance policy, process and standards relating to all policies. Ensure the efficient administration of the body governing the group policies, called the Policy Review Group. Manage and maintain the Group’s Policy library. Coordinate and monitor the effective tracking and approval of new policies and policy updates in accordance with the
Group’s requirements. As a subject matter expert, advise policy owners on the policy governance process and requirements. Manage the design, administration and delivery of the Group mandatory e-learning programme, including the
selection and performance management of the third party hosted e-learning platform. Monitor compliance with key conduct policies by maintaining registers of all staff declarations, for example, Gifts &
Hospitality, Conflicts of Interests, Personal Account Dealing. This includes the annual staff declaration of interests. Manage and produce reporting of management information on all activities to meet internal reporting requirements in
a timely manner, with accurate results. Support the assessment, monitoring and reporting of compliance with internal policies and external legal and
regulatory requirements. Contribute to the development and maintenance of suitable risk management information systems to ensure
accurate and timely reporting of risk, control and compliance data to internal and external stakeholders. Work collaboratively with other Risk & Compliance team members to provide data, insight and analytical expertise on
risk and control across BBB. Support team members with delivering the key objectives and milestones for the Risk & Compliance team.
Knowledge and experience
Minimum 3 years experience in a governance, risk management, quality assurance, compliance or company secretary role in the public or private sector, preferably in financial services sector.
Experience and/or qualifications in one or more of the following governance related disciplines; risk management, records management, data protection, company secretary, internal audit, compliance or financial crime (e.g. anti-money laundering, counter fraud, bribery and corruption).
Established track record in designing, organising, implementing and reporting compliance monitoring activities. Good MS Office skills including Excel.
Internal and external stakeholders
Senior Management Team and all policy owners. Risk & Compliance Team. Legal and Governance Team Internal Audit. All BBB Group teams and support functions. External regulatory bodies and government departments.
Budgets / fund size / scope of investments
Not Applicable
Management responsibility if appropriateOutline the team structure and whether there are any direct reports into this role
Not Applicable
Key competencies/behaviours
What sort of personal traits would you require the ideal candidate to have team wide / companywide? This may be in relation to the Values.
Excellent written and oral communication skills; capable of producing clear, concise policies, procedures, reports and presentations.
Strong analytical skills and attention to detail. Ability to develop practical solutions to a range of governance, risk management and compliance issues. Capable planner, able to manage multiple competing tasks and to respond to changing priorities. High levels of personal integrity. Able to manage time and work load effectively to ensure that longer term projects/initiatives are successfully
delivered on time and to required standards. Good relationship manager and diplomacy skills to deal effectively with stakeholders including senior personnel, who
may have potentially conflicting priorities. Enthusiastic for new challenges, capable of demonstrating judgment and decision making and understands when to
escalate issues.
QualificationsRequired for the role
Sheffield based. Educated to a degree level (or equivalent
experience) is highly desirable. Hold, or studying towards, a professional
qualification in risk management, internal audit, records management, quality management or company secretary or equivalent such as IRM, IIA, ICSA.
Minimum 3 years experience in a governance, risk management or compliance function in public or private sector.
Good MS Office skills including Excel.
Additional / desirable
Experience and or qualifications in one or more of the following disciplines; risk management, governance, compliance, records management, data protection or financial crime.
Experience in financial services sector. Experience of implementing governance, risk and
compliance software systems.
Is this a regulated role? No