Compliance Risk Specialist

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Our work style is hybrid, which involves spending at least two days per week, or 40% of our time, at one of our office sites.

Within the Risk function are a number of sub-functions, one of those being Compliance, Conduct & Operational Risk ("CCOR"). Within CCOR there are a number of teams, one of those being Central Compliance. Within Central Compliance there are five teams - this role is in one of those teams.

The team has a range of responsibilities, all focused around establishing and overseeing the tools and programs for the Group to comply with rules and regulations and evidence that compliance. Specifically, the successful candidate will be joining a sub-team of three who are the subject matter experts for a number of regulatory activities and risks including:

• Regulatory Authorisations, Permissions and Waivers
• Non-Financial Regulatory and Statutory Reporting
• CASS
• Political Engagement
• Cross Border Activity

• Perform oversight of the effective functioning of the regulatory compliance policy, including embedding of control standards and functioning of core processes.
• Conduct thematic reviews and deep dives for regulatory compliance risks for specific areas of concern.
• Identify regulatory changes and oversee regulatory traceability through policies, communicate such regulatory changes and support the business in impact assessment and capability development as required.
• Oversee business assurance plans and activities, including control testing, RCSAs, etc.
• Advise and support around embedding and operating Compliance practices, including guidance on tools/systems where relevant.
• Assist in maintenance of regulatory compliance policy and associated standards, and coordinate embedding these across the Group.
• Oversee the delivery of action and remediation plans against specified issues; including advice/guidance or hands‑on roles in case of regulatory action or breach remediation.
• Use data analytics to identify potential risks, trends and themes to prevent regulatory compliance risk materialising, share findings with the business and other risk specialists to enable ongoing improvement to the risk and control environment.
• Participate in business and functional governance forums where required, providing review and challenge, and escalating any issues where required.

We're on an exciting journey to transform our Group and the way we're shaping finance for good. We're focusing on the future, investing in our technologies, workplaces, and colleagues to make our Group a great place for everyone. Including you.

• Experience in the compliance function of a financial institution/bank
• Ability to interpret and apply regulatory frameworks - specifically providing advice and guidance on FCA SYSC and SUP
• Analytical thinking and judgment - specifically performing high-quality insightful oversight.
• Communication and interpersonal effectiveness - specifically building strong, productive working relationships with stakeholders
• Teamwork and cooperation:
  Working collaboratively with others
• Problem‑solving and strategic thinking skills - specifically helping the business to identify the right solutions.
• Excellent written and oral communication skills

• Understanding of risk frameworks
• Data analytical experience

Our focus is to ensure we're inclusive every day, building an organisation that reflects modern society and celebrates diversity in all its forms. We want our people to feel that they belong and can be their best, regardless of background, identity or culture. We were one of the first major organisations to set goals on diversity in senior roles, create a menopause health package, and a dedicated Working with Cancer initiative.

And it's why we especially welcome applications from under‑represented groups. We're disability confident. So if you'd like reasonable adjustments to be made to our recruitment processes, just let us know.

• A generous pension contribution of up to 15%
• An annual performance‑related bonus
• Share schemes including free shares
• Benefits you can adapt to your lifestyle, such as discounted shopping
• 30 days' holiday, with bank holidays on top
• A range of wellbeing initiatives and generous parental leave policies

If you're excited by the thought of becoming part of our team, get in touch. We'd love to hear from you.

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• Entry level

• Full‑time

• Finance

• Banking