Assistant Manager - Employee Compliance - BFS (2-7 yrs)

Accountabilities:

- Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.

- Implementation of surveillance and monitoring systems to track and report on employee behaviour.

- Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.

- Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.

Analyst Expectations:

- Will have an impact on the work of related teams within the area.

- Partner with other functions and business areas.

- Takes responsibility for end results of a team's operational processing and activities.

- Escalate breaches of policies / procedure appropriately.

- Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.

- Advise and influence decision making within own area of expertise.

- Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.

- Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.

- Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.

- Make evaluative judgements based on the analysis of factual information, paying attention to detail.

- Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.

- Guide and persuade team members and communicate complex / sensitive information.

- Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.