Job Description

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

processes.

 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

organisation.

 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

business objectives.

 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

team goals.

 Build rapport within own and other immediate teams.  Communicate clearly and concisely in order to establish consensus and obtain

agreement.



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

mandatory e

-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.