Conduct Risk Manager

£42,000 - £55,000
26 Jul 2018
25 Aug 2018
Experience Level
Contract Type

The Conduct Risk Manager will work as part of the Regulatory Advisory Team in delivering practical and clear guidance to the business on how to effectively meet new and existing conduct regulatory requirements and proactively help the business to ensure that it implements effective systems and controls (in relation to these requirements) and to escalate any material issues identified.

The role will also contribute to the achievement of the Group’s business goals in what continues to be, a rapidly changing conduct regulatory environment and to promote a robust and effective compliance and conduct risk culture within the Bank.


  • Be a source of professional conduct regulatory advice for the business, in particular in relation to the evolving interpretation and approach to conduct regulation being applied by the FCA, and all aspects of conduct risk and avoiding poor customer outcomes
  • Represent the Compliance function on key business/regulatory projects and initiatives providing specialist technical conduct regulatory interpretation, advice and challenge
  • Contribute to the Compliance function’s identification, assessment, communication, tracking and reporting of conduct regulatory change matters facing the business
  • Contribute to the development of compliance and conduct risk frameworks, policies and procedures and ensuring that consistent standards are applied across the Group through effective communication and advice
  • Oversee the maintenance of the Group’s Conduct Risk Register
  • Proactively support the business in relation to investigations into conduct regulatory related incidents/breaches and providing risk-based advice and guidance on identifying appropriate remedial actions
  • Complete insightful risk-based and action orientated compliance and conduct risk management information reports for the Group’s Management and Board committees
  • Provide effective compliance functional reporting and ensure matters of concern are escalated to the Group Head of Compliance, or other senior management as appropriate
  • Manage, mentor and coach direct reports (including all aspects of performance management, development, conduct, sickness management, appraisals, employee administration and recruitment)
  • Support the HR function in development, delivery and evaluation of compliance and conduct risk related training
  • Act as an ambassador for the bank’s compliance and conduct risk culture and standards, demonstrating the highest standards of behaviours at all times
  • Maintain the company’s compliance standards and own compliance training


  • A minimum of 2 years’ experience working in a compliance or conduct risk role within the financial services industry is essential
  • A minimum of 12 months experience in advising the business on conduct regulatory requirements is essential
  • A minimum of 12 months experience in a line manager/team leader role is essential
  • Proven experience in engaging with senior business stakeholders is desirable
  • Detailed knowledge of the emerging conduct regulatory environment is essential
  • Detailed working and practical knowledge of the FCA handbooks and their application in practice is essential
  • Knowledge of retail banking and associated products is desirable
  • Experience in policy and procedure maintenance is desirable
  • Strong understanding of project management principles and practice is desirable
  • GSCE/GCE qualifications in both maths and English are essential
  • Degree level education is desirable
  • Formal professional qualifications (these may include formal / professional compliance qualifications) are desirable

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