United Kingdom Job Openings
NatWest Markets
Conduct & Compliance Associate, NatWest Markets
London
FULL TIME
October 31, 2024
Conduct & Compliance Associate, Nat West Markets
- We’ll look to you to lead regulatory compliance and conduct insight, oversight and challenge
- You’ll be providing expert support, advice, MI and escalation to leaders and the business on risk management
- This is an opportunity to gain exposure as you own stakeholder relationships to make sure there’s an early understanding and buy-in of conduct risk appetite activity
What you'll do
As a Compliance Lead, you’ll be supporting executives in making sure that the business strategy for Nat West Markets Capital Markets is consistent with and supports an effective regulatory framework. You’ll also be supporting executives on regulatory engagement with the FCA in relation to relevant matters relating to customer franchises and business units.
On top of this, you’ll be:
- Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm
- Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite
- Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations
- Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model
The skills you'll need
To succeed in this role, you’ll need strong financial services experience, preferably in banking and regulated firms in the conduct risk environment. In addition, you’ll need broad technical knowledge of products, services and regulations relevant to a large retail and wholesale bank.
You’ll also demonstrate:
- Knowledge and experience of providing regulatory and technical support and advice to senior management
- The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI
- A track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline
- Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills
- The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated
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