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For Companies At a Glance
- Tasks: Support compliance and conduct risk frameworks in the Retail sector.
- Company: Join a leading bank focused on regulatory excellence and customer trust.
- Benefits: Enjoy competitive pay, flexible working options, and professional development opportunities.
- Why this job: Be part of a dynamic team shaping compliance culture and making a real impact.
- Qualifications: Deep knowledge of financial services and strong communication skills required.
- Other info: Ideal for those passionate about regulatory challenges and stakeholder engagement.
The predicted salary is between 43200 - 72000 £ per year.
The purpose of the role is to support the Retail franchise’s implementation and maintenance of the Bank’s Compliance & Conduct risk frameworks and policies to ensure compliance with FCA regulations and the Bank’s risk appetite. This role will support the Head of Conduct Risk - Retail in advising and assisting the Retail franchise to operate within risk and regulatory parameters.
Key Responsibilities
- Regulatory Awareness & Change: Maintain awareness of the evolving regulatory landscape affecting Retail, communicate updates to stakeholders, and support the delivery of change initiatives, including participating in change meetings and escalating risks as needed.
- Policy: Support embedding of Compliance & Conduct policies across Retail, ensuring timely communication of material non-compliance to relevant stakeholders.
- Compliance & Conduct Advice and Support: Provide timely advice and training to Retail staff on regulatory impacts, oversee non-regulatory change, review and approve financial promotion assets.
- Regulatory and Conduct Risk Management: Report breaches or risk events, and track related actions within Retail.
- Regulatory Governance: Assist in maintaining governance arrangements, participate in forums, and oversee MI related to Compliance & Conduct risks.
- Culture: Promote an effective Compliance and Conduct culture within Retail.
The Person
- Knowledge: Deep understanding of financial services, especially Consumer Lending, Savings, and Finance, and the regulatory landscape.
- Capability: Ability to work under pressure, manage multiple projects, influence stakeholders, and communicate effectively.
- Relationship Management: Collaborate with 1st and 2nd line teams, develop strong relationships with colleagues across functions.
- Values: Demonstrate values of excellence, openness, transparency, and integrity.
Senior Conduct Risk Manager - Retail employer: Shawbrook Bank
Contact Detail:
Shawbrook Bank Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Conduct Risk Manager - Retail
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to retail banking. This knowledge will not only help you in interviews but also demonstrate your proactive approach to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those involved in conduct risk management. Attend industry events or webinars to build connections and gain insights that could be beneficial during your application process.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance and conduct risks in previous roles. Highlighting your experience with regulatory changes and stakeholder communication can set you apart from other candidates.
✨Tip Number 4
Showcase your ability to influence and collaborate with various teams by preparing anecdotes that illustrate your relationship management skills. Being able to demonstrate how you've worked effectively across functions will resonate well with the hiring team.
We think you need these skills to ace Senior Conduct Risk Manager - Retail
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Senior Conduct Risk Manager - Retail position. Tailor your application to highlight your relevant experience in compliance and conduct risk management.
Highlight Relevant Experience: In your CV and cover letter, emphasise your deep understanding of financial services, particularly in Consumer Lending and Savings. Provide specific examples of how you've successfully managed compliance and regulatory challenges in previous roles.
Showcase Your Skills: Demonstrate your capability to work under pressure and manage multiple projects. Use concrete examples to illustrate your ability to influence stakeholders and communicate effectively, as these are key skills for this role.
Emphasise Cultural Fit: Reflect on how your values align with those of the company, such as excellence, openness, transparency, and integrity. Mention any initiatives you've led or participated in that promote a strong compliance and conduct culture.
How to prepare for a job interview at Shawbrook Bank
✨Show Your Regulatory Knowledge
Make sure to brush up on the latest FCA regulations and how they impact the retail banking sector. Being able to discuss recent changes and their implications will demonstrate your expertise and commitment to compliance.
✨Demonstrate Relationship Management Skills
Prepare examples of how you've successfully collaborated with different teams in the past. Highlighting your ability to build strong relationships will show that you can effectively work with both 1st and 2nd line teams.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance or conduct risk scenarios. Practising your responses to these types of questions will help you articulate your thought process and decision-making skills.
✨Emphasise Your Values
Be ready to discuss how your personal values align with those of the bank, particularly around excellence, openness, transparency, and integrity. This will help convey that you're a good cultural fit for the organisation.
