Head of Group Compliance Policies and Traceability, CCOR

End DateThursday 18 April 2024Salary Range£0 - £0 We support flexible working - click here for more information on flexible working options Flexible Working OptionsHybrid Working, Job ShareJob Description SummaryLOCATION(S): Edinburgh, Glasgow, Leeds, Halifax, Chester, Birmingham, BristolWORKING PATTERN: Our work style is hybrid, which involves spending two days per week, or 40% of our time at one of our Risk Hubs.ABOUT THIS OPPORTUNITY: We’re on an exciting journey and there couldn’t be a better time to join us. We’re putting in place a fresh operating model for non-financial risk management across the Group, empowering our people to take end-to-end accountability for managing the risks that they face!This means we’re changing how we do risk management, creating a team of risk specialists, to provide support aligned to our risk owners and control owners to deliver great customer outcomes!We’re looking for a Head of Group Compliance Policies and Traceability covering Conflicts, Gifts, Entertainment and Hospitality, CASS, compliance traceability. You'll lead and develop a Conduct & Compliance centre of excellence, to support robust risk management in alignment with the Group’s Enterprise Risk Management Framework (ERMF). You’ll provide central thought leadership, insight and oversight on how the Group complies and evidences this across all material regulatory requirements. You’ll lead on the approach and implementation of compliance policies, appetite, and control objectives to enable the delivery of customer, regulatory and business strategic outcomes.Job DescriptionKEY ACCOUNTABILITIES:Act as one of the Group’s Conduct & Compliance Risk leads and represent the organisation, building strong relationships with external partners, in particular regulators and other governing bodies.Own design and implementation of Compliance Risk policies and appetite, including tolerances and thresholds. Lead and facilitate the understanding and adherence throughout the organisation, including ongoing management and continuous monitoring.Lead the creation and ongoing development of Group guardrails for acceptance and mitigation of regulatory risks and compliance breaches.Own and define appropriate control objectives to ensure that the Group’s business processes, systems and activities are conducted in a controlled and compliant manner.Ensure risks are measured, monitored, controlled, and reported on a timely basis and consistently across the Group, and provide independent challenge to risk decisions, as they relate to your specialism.Accountability for ensuring that our horizon scanning is efficient, effective and insightful to the Group.Interpret new and existing regulations accurately and adeptly. Highlighting the direction of travel and anticipating the impact of the proposed changes across the whole Group.Lead our central Compliance strategy, working closely with Chief Control Offices and other stakeholders across the Group to ensure effective implementation. Understanding global best practice for all areas within the scope of the role.WHAT YOU’LL NEED:Externally recognised ability to deliver Compliance Strategy for complex Financial Services organisations and transform policies and frameworks to deliver this vision.Able to demonstrate technical expertise in UK regulations including Principles for Businesses (PRIN), Senior Management Arrangements, Systems & Controls (SYSC) and Client Assets Sourcebook (CASS), Conflict management, segregation of duties.Significant experience of RegTech and has utilised technology and data led solutions to deliver enhanced compliance outcomes.Able to demonstrate depth to confidently provide credible advice and assurance on core compliance and regulatory obligations to support the business and the mandate of the SMF 16.Demonstrates expert knowledge of relevant laws, regulation, industry standards and established exemplar practice in technical subject area.Experience of developing and owning group-level policy and setting risk-appetite, with expertise in continuous monitoring and reporting on group exposure.Evidence of demonstrating good and timely decision making that keeps the organisation moving forward and skilfully balances difficult trade-offs with the ability to understand business strategy and opportunity risks.Excellent leadership skills with evidence of coaching to go faster by demonstrating commitment to create an environment that builds teams with skills aligned to our Group Strategy and Purpose creating new and better ways for the organisation to change at pace.AND ANY EXPERIENCE OF THESE WOULD BE REALLY USEFUL:Excellent communication skills and the ability to influence at senior levels.Inclusive working style that ensures everyone can be themselves in a safe environment.Record of delivering results and an awareness of the importance of documentary evidence for key decisions.Recognised internally and externally as a Subject Matter Expert and capable of influencing regulatory policy.Examples to show how you have used your technical knowledge to ensure the business understands its compliance obligations, including successful oversight and challenge to ensure adherence to Compliance Risk Appetite.ABOUT WORKING FOR US: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.We also offer a wide-ranging benefits package, which includes:A generous pension contribution of up to 15%An annual performance-related bonusShare schemes including free sharesBenefits you can adapt to your lifestyle, such as discounted shopping30 days’ holiday, with bank holidays on topA range of wellbeing initiatives and generous parental leave policiesWant to do amazing work, that’s interesting and makes a difference to millions of people? Join our journey.At Lloyds Banking Group, we're driven by a clear purpose; to help Britain prosper. Across the Group, our colleagues are focused on making a difference to customers, businesses and communities. With us you'll have a key role to play in shaping the financial services of the future, whilst the scale and reach of our Group means you'll have many opportunities to learn, grow and develop. We keep your data safe. So, we'll only ever ask you to provide confidential or sensitive information once you have formally been invited along to an interview or accepted a verbal offer to join us which is when we run our background checks. We'll always explain what we need and why, with any request coming from a trusted Lloyds Banking Group person.We're focused on creating a values-led culture and are committed to building a workforce which reflects the diversity of the customers and communities we serve. Together we’re building a truly inclusive workplace where all of our colleagues have the opportunity to make a real difference.
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