Treasury Risk Manager ( Dealer room and issuance Complianace)

Core Purpose of Role

The Dealing Room & Issuance ("DR&I") Compliance function within Regulatory Risk & Compliance is responsible for providing transactional regulatory advice and Com-pliance monitoring for the Treasury, including the Dealing Room and the Debt Issu-ance functions.The role also maintains dealer mandates, participates in new product approvals, counterparty/client due diligence (KYC), the management of conflicts of interest and the implementation of regulatory change within the Treasury Department of TSB.

Accountabilities

Common

• Demonstrates TSB behaviours whilst carrying out all aspects of their role
• Manages self to ensure adherence to TSB risk and compliance policies and relevant external regulatory frameworks
• Contributes to the development and achievement of business plans, providing insightful and accurate information, guidance and advice, enabling the busi-ness areas to assess the downstream implications linked to their decisions
• Recommends areas for change and supports leadership in delivery of agreed business objectives to achieve continuous improvement
• Where appropriate, manages and motivates a high performing team, develop-ing colleagues through stretching objectives, feedback and coaching, con-tributing to their development and providing ongoing support

Specific

• Assists in defining, agreeing and implementing policies and procedures re-quired for effective Compliance Risk management and promote good conduct
• Assists in carrying out Compliance Risks Assessments and supports and im-plements an annual compliance plan
• Champions the TSB Conduct Strategy for Treasury colleagues and the Deal-ing Room by assisting in its practical application
• Conducts compliance monitoring reviews.
• Represents the DR&I Compliance Officer at Committees.
• Maintains and delivers an annual compliance training programme for the dealing room and secured funding teams.
• Liaises Internationally with relevant functions in Banco Sabadell in addition to managing senior managers and directors within TSBs Head Office.
• Operates with degrees of impact and influence managing a range of stake-holders from within Risk and the wider TSB Business and Banco Sabadell, including senior management, Board and BEC members
• Maintains and monitors the Compliance risk framework of controls, policies and governance that operate within the TSB Treasury Department
• Identifies regulatory changes, assess their impact on TSB and implement so-lutions to address gaps in the TSB Treasury Department and Dealing Room
• Provides advice on due diligence on counterparties/clients of the TSB Treasury Department
• Participates in new product and complex transaction approvals
• Maintains and monitors conflicts of interest management within TSB the Treasury Department and Dealing Room
• Monitors key conduct based regulatory reporting on a QA basis, eg EMIR, FCA transaction reporting
• Works collaboratively to support a strong culture within the team and across the wider Risk function of accountability, empowerment and proactive contribution to the de-velopment of the function to reflect the evolving business needs and environment, ensuring agility and flexibility to adapt to change

Nice to have:

• International Compliance Association Qualifications
• 2 to 3 years Compliance experience in Treasury and Dealing room
• Investment Banking sector experience