Company Profile: Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Company has leading franchises both globally and in EMEA in Equities and ECM. The EMEA business comprises approximately 850 Sales & Trading employees and is based at its regional headquarters in Canary Wharf, London. The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities and Equities), Investment Banking, Research, Investment Management and Private Wealth Management Business across the EMEA region. Job overview: The FCA expects to see separate and specific focus given to the management of conduct risk within regulated firms. It expects those firms to be able to identify, assess, monitor and mitigate conduct risks arising from its business, and Company has created a framework designed to achieve this. As a member of the Conduct Risk team, the focus of this role will be on implementing and embedding of the framework for managing conduct risk, supporting the Head of Conduct Risk Policy and the Chair of the EMEA Conduct Risk Committee. The EMEA Conduct Risk Committee (“the Committee”) is a new committee intended to report directly to the EMEA Risk Committee to assist the Firm to identify, assess, monitor and mitigate conduct risk. Principal duties: (a) Implementing Conduct Risk Management Framework • Assisting in the design of the conduct risk management framework and the translation of that design into clear roles, responsibilities, policies and procedures. • Supporting the EMEA Conduct Risk Committee to ensure Committee is effective in fulfilling its mandate to oversee the Firm’s management of conduct risk; • Making recommendations to the Committee including: o Annual identification of Firm’s key conduct risk focus areas; o Analysis of effectiveness of framework and its implementation; o Thematic or other work to assess or enhance the Firm’s management of conduct risk; o Changes or additions to metrics delivered to Business Units to support their management of conduct risk • Assisting with preparation of periodic reports by the Committee to other committees including EMEA Risk Committee and other risk management fora. (b) Championing conduct risk in interactions with business units and support functions • Engaging with business unit and support function staff and management to enhance management of conduct risk; • Discussing and designing enhancements to conduct risk management process with business units; • Supporting business units in their day-to-day management of conduct risk. (c) Championing conduct risk in interactions with other areas of compliance: • Ensuring conduct risk is given appropriate consideration during creation and assessment of: o training; o policies and procedures; o surveillance models; and o the compliance testing plan; • Ensuring conduct risk is given appropriate consideration during Compliance Risk Assessment programme. (d) Strategic Projects & Initiatives • Participate in / lead as appropriate strategic projects regarding conduct risk, including consideration of globalisation of conduct risk programme and interaction of EMEA Conduct Risk Management Framework with other global initiatives; • Help to prepare responses to information requests and general or periodic updates to various regulatory bodies (e.g. the FCA, the PRA, the OCC, the US Federal Reserve Bank) Reporting line: The candidate will report into the EMEA Head of Conduct Risk Policy. Qualifications Position requirements: • Understanding of conduct risk and the regulatory expectations relating to it. Experience of conduct risk management would be an advantage. • Broad understanding of wholesale banking and/or wholesale financial services. • Ability to build relationships of trust with members of the Compliance department and employees in the business unit and support & control functions. • Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing. • Ability to lead a team and manage a project • Good analytical and numerical skills, able to learn new concepts • Ability to remain focused under pressure • Ability to perform multiple tasks simultaneously, and prioritise accordingly • Confidence to use own initiative and apply judgment. • Enthusiasm and aspiration to learn and develop. • Broad understanding of the FCA and PRA Handbooks and Regulatory approach. Company is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential.*LI-HW1