Provide oversight and challenge to the Business to ensure that controls are being managed within stated risk appetite and support the provision of effective, efficient and consistent oversight, challenge advice and assurance in line with strategy, policy and standards for the management of risk.
Support the ongoing development and embedding of the business’ risk strategy and
associated risk appetite.
Throughout the oversight process, proactively, positively, and constructively engage
with stakeholders at all levels to promote a risk-aware culture, and to establish, foster,
and maintain strong working relationships.
Multiskilled to support team members to deliver the team plan in relation to Risk
Management, Adviser Monitoring & Data Protection.
Conduct Assurance Reviews, control testing, root cause analysis, and other ad hoc
investigations as required, to provide a level of assurance to Senior and Executive
Management on the strength of the control environment and effectiveness of
management of key risks.
Provide Specialist support in relation to Operational Risk policies, standards and
Manage the Operational Risk register ensuring all open risks are identified, recorded
and escalated appropriately with mitigation or risk acceptance in place.
Oversee completion of management and audit actions for Client Services, providing
management assurance on action completion.
Team and People Management
Lead a small team of specialised resource focussed on operational risk management
for Client Services.
Innovate, take bold steps forward
Stand up for what’s right
Question convention and stay curious
Use expertise to deliver on promise
Persevere to get the right outcome
Act with focus and care
Collaborate, learn from experience and adapt
Share openly and transparently
Listen, to include new perspectives
Provide people and performance management, development and coaching support
for team members
Ensure delivery of the Operational Risk & Control team plan Proactively encourage team working, collaboration and cross
-skilling within the team,
and working collaboratively with key stakeholders and customers across the
Deputise for the Head of Operational Risk & Control as required
Key competencies Manage own time and prioritise own and team workloads to meet deadlines and
Make decisions within clearly defined boundaries which positively impact upon the
achievement of operational objectives.
Proactively investigate and propose appropriate solutions to complex problems, taking
into consideration the impact on business objectives.
Work collaboratively with others across the business to achieve individual and wider
Build rapport within own and other immediate teams. Communicate clearly and concisely in order to establish consensus and obtain
Present information to others in an easily understandable way.
Respond to customer needs and identify solutions to standard requests. Act as a role model to encourage a culture of service excellence and continuous
improvement in processes and business results.
Consistently behave in a manner which supports a culture of high performance,
empowerment, accountability, and professionalism at all times.
Use best practice and knowledge of internal/external business issues to make
recommendations on process, service, and operational improvements.
Respond positively and constructively to change.
To be responsible and accountable for own personal development, i.e. to prepare
and actively operate personal training/development plans.
Support, encourage and demonstrate the Treating Customers Fairly principles and
supporting TCF improvements.
Ensure that all professional contact is conducted in
accordance with TCF principles.
Comply with all company policies, procedures and principles, including completion of
-learning modules and computer based training
Highly aware of the importance of managing and mitigating risk and to escalate any
identified risks in line with company policy.