Collegamento...

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Wholesale Conduct Business Partner

Luogo: City of London, London
Stipendio: £60000 - £80000 per annum
Postato: giorni 27 fa
Tipologia di contratto: Contract
Industria: Compliance & Financial Crime
Nome del contatto: James Whitehead
Contatto email: James.Whitehead@ojassociates.com

Wholesale Conduct Business Partner

To act as Business Partner in the best interests of the company. Ensure professional, strategic and operational compliance risk-management is in place and that the business is compliant with appropriate systems and controls by supporting it in meeting its regulatory objectives through delivering policy and advisory support, leading compliance projects, monitoring changes in regulation and performing impact analyses and embedding professional standards.

Responsibilities:

  • Work with the Specialty Risks (including Marine, Specie, Fine Art teams) and Delegated Authority divisions (overseen by the department's senior management and together with the wider Compliance team) to provide support, advice and guidance on the compliance framework and policies and procedures and guide the business to identify, assess and manage compliance risk and meet professional standards set by the Group and regulatory requirements
  • Provide focused specialist compliance advice to divisional staff taking into account business / customer needs, external best practice and regulatory requirements. Bring challenge to the senior management of the relevant division and make supportive interventions aimed at managing compliance within the divisions
  • Respond to a wide range of complex enquiries, ensuring that the information provided is clearly understood by the business
  • Maintain excellent relationships with internal stakeholders to aid the efficient and productive working relationship with risk management and other business divisions
  • Act as a 'trusted advisor' to the business, working together to find compliant commercial solutions which maximise corporate performance and minimise financial, regulatory or reputational loss
  • Provide compliance oversight and reporting to the department's senior management, and the senior management team of the relevant division. Provide input to the Executive, Audit and Risk Committees
  • Assist with the management and delivery of compliance work including scheduled and ad hoc strategic projects; including:
    • The development and implementation of an effective framework supported by risk-based policies and procedures designed to deliver compliance with relevant regulatory requirements
    • The development and implementation of appropriate domestic and international professional standards in response to new rules, guidance, regulatory standards and Group policy
    • Provide compliance work stream support on business-led projects and M&A integration projects
  • Carry out research and provide expert policy advice on a range of regulatory issues with a special focus on conduct risk. Maintain a highly visible and supportive role as a strong influencer and help internal stakeholders to understand conduct risk outcomes to anticipate, understand, prepare for and implement regulatory and policy change
  • Be familiar with the business and current regulatory and compliance initiatives in a way that is likely to meet the Financial Conduct Authority compliance requirements applying to a C2 firm
  • Review and analyse key external trends and influences to ensure that a wide range of information is used to support the development of compliance strategies ensuring they are in line with the planned overall strategy of the relevant division
  • Lead conduct training and awareness initiatives within the relevant division
  • Comply with Professional Standards Manual in accordance with statutory requirements for role with specific attention, but not limited to Managing Client information, Whistle Blowing, Treating Customers Fairly

Background:

  • Experience working across senior stakeholders within a speciality or Brokerage environment
  • Compliance monitoring and advisory is a must
  • Understanding of inherent compliance framework documents pertinent to the departments
  • Experience with managing large projects within a Compliance function

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