– Provide oversight and challenge to the Client Services teams 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 development of the Client Services Quality Management Framework, providing management with assurance of the completeness and accuracy of policy and transaction processing, including data input; anti-money laundering (AML), tax reporting etc.
– Maintain the Client Services procedure change control process.
– Log and track any Data Protection Breaches when required.
– Support the reviewing of Data Protection Impact Assessments (DPIA) if required.
– Provide data subject access requests (DSARS) if required.
– Work with the Data Protection Officer (DPO) and the Data Protection Specialist as required.
– 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.
– Conduct Assurance Reviews, control testing, root cause analysis, and other ad hoc investigations as required, to provide a level of assurance to 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
– Maintain the Operational Risk register ensuring all open risks are identified, recorded and escalated appropriately with mitigation or risk acceptance in place.
– Support the adviser monitoring process.
– Tracking of audit actions for Client Services, providing management assurance on action completion.
– Support the delivery of the Operational Risk & Control team plan
– Support the team on any new projects and initiatives.
– Deputise for the Operational Risk & Control Manager as required.
Skills & Experience Required:
– Ability to work to tight deadlines.
– Ability to work well individually and as part of a team.
– Strong communication, influencing, numeracy, and literacy skills.
– Minimum 5-7 years Financial Services Industry experience.
– Experience of operating operational risk management processes and procedures.
– Has a good understanding of the market and industry.
– Has awareness of all relevant regulatory bodies and associated principles.
– PC literate, in particular MS Office applications.
– 5 GCSE’s Grade B or above to include Maths and English and/or NVQ Level 1 or equivalent.