Regulatory Compliances

• Development of compliance related policies and procedures
• Development of Compliance Risk Assessment Framework
• Developed compliance indicators for monitoring of key compliance requirements
• Preparation of Compliance testing plan and performing compliance reviews
• Preparation of Compliance dashboards and reporting
• Compliance Advisory on specific banking divisions or products.

Skills / Experience

• Creation and maintenance of conduct risk management framework, and where necessary
• enhance the procedures and systems relating to the management of conduct risk to
• ensure that the Boards risk appetite and all regulatory requirements are met.
• Communication of the conduct framework requirements, policies and procedures through
• reporting and delivering appropriate training for relevant business teams.
• Maintenance the conduct risk assessment methodology, perform assessments, conduct
• related due diligence and identify and implement appropriate controls to mitigate risks
• identified.
• Preparation and implementation of Boards risk appetite relating to Conduct Risk is
• implemented throughout the business.
• Maintenance and enhancement, where necessary, of the Conduct Risk Framework,
• considering any emerging conduct risks and regulation.
• Provide advice and training to the business in respect of conduct risk issues.
• Oversee and carry out conduct risk controls, monitor the business for conduct risk issues
• and support conduct risk projects.
• Ensure appropriate conduct risk management information (MI) is made available to the
• relevant governance bodies within the business on a timely basis.
• Analyse conduct risk MI and undertake root cause analysis in respect of complaints.
• Circulate market updates and guidance in relation to conduct risk matters, as necessary,
• liaising with the Compliance Officer/Compliance team to provide a unified response to the
• business in respect of regulatory requirements relating to consumer and high conduct risk
• business / codes of best practice and regulatory developments.
• Oversee complaints handling and management
• Prepare reporting packs for Senior Management and Board for Conduct Risk.