Senior Conduct and Regulatory Assurance Specialist

North West England
£500 per day
18 May 2017
17 Jun 2017
Job Function
Experience Level
Executive, Management, Officer
Contract Type

Our client is a well-regarded financial services business who are recruiting for a Senior Conduct and Regulatory Assurance Specialist. The role will involve directly contributing to the development and implementation of the banks 2nd line conduct and regulatory assurance across all products and channels.

The role-

  • Manage regulatory and conduct risks in the day-to-day operations of the business, ensuring high ethical standards and fair customers outcomes and that reviews are executed in accordance with industry standards
  • Provide input into the risk management framework and positively contribute to the embedding of a risk based culture, taking personal accountability for risk based decision making
  • Ensure early identification of conduct and regulatory risk issues in order to prevent, where possible, any adverse customer outcomes and minimise commercial costs
  • Support the implementation and enhancement of 2nd Line conduct and regulatory assurance policies and procedures designed to detect compliance failures and breaches across all products and channels
  • Provide conduct risk SME guidance and support to the team as required on other plan reviews
  • Assist in providing regular reporting to senior management and relevant executive committees on the progress of work against the plan
  • Challenge the effectiveness of the implementation of conduct and regulatory risk policies and control standards across the core business
  • Work with other assurance functions to develop effective and efficient oversight activities across the 3 lines of defence model whilst maintaining independence
  • Perform stakeholder engagement to define the objectives and scope of assurance reviews and aid stakeholder understanding of key regulatory and conduct risks and issues within their respective business areas
  • As a member of the conduct and regulatory assurance senior team contribute to the success of the overall team through the setting and delivery of its strategy

Key Requirements-        

  • Expertise and experience in regulatory requirements applicable to retail & commercial banking
  • Experience of managing conduct & regulatory assurance reviews in time and on budget
  • Expertise in Regulatory and Conduct Risk management techniques
  • Excellent communication, relationship building and influencing skills up to Director Level.

To discuss the role in greater detail please contact Paul Sherlock on 0161-883-2746 or send through your CV to