RBC Brewin Dolphin – Client Controls Senior Manager in Newcastle upon Tyne

We have an excellent opportunity for a Client Controls Senior Manager to join the Chief Administrative Office (CAO). This role reports to and supports the Chief Administrative Officer and can be based in London, Newcastle, Edinburgh or Manchester. The Senior Manager is responsible for the coordination and management of the Client Controls team who own the governance of Client Facing controls. The role holder is expected to work closely with stakeholders outside of the CAO team including Operations, Ops Risk, Tax, Business Risk Management, Client Facing Teams (CFT), Change and Transformation and Regulatory Compliance.

The successful candidate will oversee a number of initiatives the Client Controls team is involved in. This includes managing the pipeline of inbound work items and setting prioritisation, establishing a formal governance structure for the team which will deliver visibility of the initiatives the team are working on as well as establishing a forum for the business to engage with the Client Controls team on inbound work or change related items.

The Senior Manager is expected to have a good knowledge of the regulatory environment which affects the business operations of RBC Brewin Dolphin and ensure that the control environment protects our business from a regulatory lens.

RBC’s expectation is that all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely, depending on working arrangements.

What will you do?

• Manage and deliver the (WME) Risk and control assessments (RCSA at both risk level and process level) including Head of RBC Brewin Dolphin attestation.
• Assess CFT key risk indicators (KRI’s) and risk appetite measure KRIs (RAM KRI) in partnership with Ops Risk to RBC Enterprise standards and perform periodic KRI refresh.
• Complete the mapping of key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT.
• Work with CAO Client Administrative Services team and Operational Risk to maintain oversight on Operational Risk Events (OREs) – ensuring that the control environment remains effective against live and emerging threats.
• Deliver the quarterly CASS (CORF) attestation.
• Deliver monthly CASS Resolution Pack assessment and attestation.
• Ensure audit activity related to Controls (including CASS risk) is managed by the Client Controls team. This includes the running of the PwC AAF and CORF audits (in partnership with Business Risk Management) including the completion of attestations.
• Providing clear guidance to CFT to enable them to comply with RBC Brewin Dolphin frameworks and policies such as Conflicts of Interest and Gifts and Hospitality by designing and maintaining procedures and the accountability framework.
• Build a framework and governance structure for business changes to be considered / impact assessment considered against the control register and updates made to maintain a fit for purpose controls inventory.
• Representing the CAO in appropriate working groups and proposing ideas / solutions on behalf of Client Controls.

What do you need to succeed?

Must-have

• Proven experience within the financial services sector, ideally within a wealth management environment.
• Experience in risk lifecycles, i.e. leading complex risk programmes.
• Expertise in designing and implementing frameworks that enhance execution and embed effective risk management practices.
• Experienced operational risk leader, managing a risk team.
• Experienced and competent at managing business projects and coordinating business initiatives in a structured manner.
• Good understanding of adherence to regulation and policy and able to evidence experience of embedding this in a similar environment.
• Proven project management skills, well organised and able to motivate and manage a group to deliver good outcomes for clients and colleagues.
• Able to understand and motivate non-client facing functions whilst always keeping the client in mind.
• Developed presentational and influencing skills to senior committee level (i.e. SteerCo / ExCo).

Nice-to-have

• Previous line management of a team performing a similar role to the Client Controls team e.g. Risk.

What is in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. Leaders who support your development through coaching and managing opportunities. Opportunities to work with the best in the field. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high-performing team.