Compliance Manager

NatWest Group
London, United Kingdom
13 May 2023
28 May 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Join us as a Compliance Manager

  • This role within our Capital Markets Compliance team, provides an opportunity to support, develop and embed the risk and control mechanisms for the business, independently overseeing and challenging the effective management of risks and controls
  • You'll provide support, advice, MI, and escalation to leaders and the overall business, on risk management. Recommending necessary actions to the management team for establishing and achieving financial objectives
  • You'll broaden your regulatory knowledge and understanding, and develop in a strategic, proactive role which supports the management of the bank's risk profile

What you'll do

This Compliance Manager role will see you helping to develop and manage our compliance and conduct policies, so that we can make sure they are fit for purpose, and meet the relevant regulatory expectations.

You'll be assessing existing and proposed financial plans and policies to make sure the bank's financial administration is efficient and effective, as well as identifying areas of concern, bringing significant variances with supporting detail to the attention of management.

Day-to-day, you'll be:

  • Providing regulatory compliance and conduct insight, oversight, and challenge, in relation to our Capital Markets business unit
  • Contributing to the assessment of the conduct strategy for the relevant business units to make sure it's consistent with, and supports, an effective regulatory framework
  • Providing regulatory advice and analysis in relation to relevant business initiatives, bespoke projects, transactions, and investigations to ensure compliance with all relevant laws and regulations
  • Supporting colleagues to provide input on regulatory policy and conduct risk strategy, as well as the implementation of the conduct framework, including MI, reporting, governance, training and culture, and our Environmental Social and Corporate Governance (ESG) compliance framework
  • Helping identify potential or actual conduct and compliance risks, and ensure appropriate escalation, remediation, and mitigation to manage risks back within appetite

The skills you'll need

To succeed in this role, you'll have experience in a compliance, conduct or risk management role or similar relevant experience. You'll have knowledge of the regulatory environment and its frameworks, and ideally experience of interpreting regulatory rules and regulations.

You'll also demonstrate:

  • The ability to manage and influence business stakeholders
  • A strong understanding of conduct risk management principles, supporting the operation of a Private Side Business, including financing, as well as securities transactions
  • Good knowledge and an understanding of the risk and compliance operating environment, associated policies, procedures, and protocols
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