Head of Conduct Sales Management, Private Bank
- Full Time
Regulatory compliance background.
Conduct Risk Assessments
Conduct Maturity assessments
* Manage the PBGB Conduct Programme, engaging with both HBEU and GPB stakeholders
* Oversee production, testing and refinement of Conduct MI
* Manage and report Conduct MI, programme progress and conduct issues to various internal PBGB and HBEU governance forums. Chair the GPB UK/CI Conduct Steering Committee, Member of the HBEU Conduct Committee
* Responsible for the leadership and implementation of Culture programme - including bi-annual presentation to ExCo to demonstrate progress. Represent PBGB in various Culture related UK forums and follow through on the outcomes/actions arising from the Culture programme.
* Management oversight of PBGB complaints, collection and responses for submission to FCA, performance of root cause analysis and Chair of the Complaints Committee.
* Preparation and review of Conduct presentations to the FCA and internally