Join us as a Compliance Associate
- We're looking for a Compliance Associate to join our Investment Bank Compliance Control Room
- In this role, you’ll identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the bank’s information barriers
- You’ll maintain the marketing, watch and global restricted lists, as well as advising on the appropriate policies and procedures to identify and manage conflicts
- This is an opportunity to develop effective and sustainable working relationships across the business and with peers to support the sharing of best practice and addressing of common issues
What you'll do
As a Control Room Officer, you’ll manage the wall crossing process and the confidentiality registers, as well as reviewing and assessing the aligned business processes and providing conduct advice through a focus on customer outcomes. We’ll look to you to improve business processes to encourage positive customer outcomes, higher standards and risk reduction, along with encouraging an environment of knowledge sharing, experience and support.
You'll be providing Personal Account Dealing (PAD) and Gifts & Entertainment (G&E) advice based on our policies and procedures, reviewing and actioning approval requests coming from NatWest Markets colleagues and documenting approvals and rejections in line with our procedures.
On top of this, you’ll be:
- Completing all Global Control Room activity related to the marketing list, watch list, restricted list, Managing Personal Conflicts, PAD and G&E effectively, correctly and within the timeframe expected for each task
- Analysing the full product lifecycle from product design to post-sales review, business initiatives, bespoke projects, transactions and investigations, escalating the most complex problems to senior colleagues
- Acting as a subject matter expert and building and maintaining strong relationships with the aligned business, providing timely and high quality regulatory advice
- Supporting a consistent and effective approach to conduct and regulatory risk assessment with a focus on positive customer outcomes
- Assisting the NatWest Markets Control Room in London with wall-crossing requests, as well as assisting with the updating of the marketing and watch list
- Providing meaningful reporting, MI and trend analysis to key stakeholders on NatWest Markets Control Room activity to pre-empt risks from materialising, and conducting appropriate remediation
The skills you'll need
In this fast-paced environment, you’ll need the ability to demonstrate an appreciation for positive customer outcomes and to be able to clearly articulate regulatory requirements. You’ll also benefit from an analytical and enquiring mindset, with the ability to develop a range of options and present these in a compelling way at the appropriate level for stakeholders.
You’ll need a background of working in a compliance environment, paired with strong communication skills and a proven ability to convey complex concepts in a clear and concise manner, to potentially diverse audiences.
You’ll also bring:
- The ability to demonstrate decisiveness and sound judgement on a consistent basis
- Strong operational, organisational skills and excellent attention to detail
- The ability to champion change and to influence the activities of peers
- Knowledge of the relevant regulations and conduct policies
- An understanding of how regulatory, political, reputational and environmental issues impact the business
- Knowledge of the regulatory environment, divisional frameworks and conduct risk management principles