Job Description

You will manage the overall day to day operation of the three teams, performance manage the senior colleagues in the assigned teams, consult with relevant colleagues and support senior management in helping to improve the level of compliance throughout the firm.

You will have the opportunity to cross train to enable you to cover the remaining teams on a adhoc basis where required, but primarily to build your knowledge and business acumen across the entire Personal Affairs teams as all of the teams are linked so closely.

Key Responsibilities

• Working with assistant managers within the teams to ensure that all processes are being carried out in accordance with agreed timescales.
• Being the secondary escalation point for non-standard queries received within the teams, this includes understanding and applying company policy (and relevant regulations and standards) and advising the team on the appropriate response.
• Ensuring breaches of personal independence requirements are identified, escalated and recorded in the correct manner.
• Providing management information on the performance activities within the team.
• Facilitating lean processes by fostering a stimulating environment for team members to make recommendations to enhance processes.
• Managing key initiatives to assist with the improvement of compliance levels across the firm as and when required.
• Managing the process for the collation of the annual risk metric data and ensure the teams submit the data when requested for inclusion in the annual risk metric process.
• Drive forward changes to systems and processes required due to system changes and response to regulatory change.
• This may include contributing to the development and testing of systems, and amending guidance as required.
• Act as performance manager for team members to ensure they have clear career paths, quality honest conversations and remain engaged and motivated.
• Lead ad-hoc projects relating to Quality and Risk Management initiatives, as required.

Required Knowledge, Skills, and Abilities

• Client-focused approach with a passion for delivering excellence, capable of empathizing with others and understanding the issues they face.
• Strong communication skills – able to question effectively, listen and apply judgment.
• Strong project management skills to enable identification of required tasks and deadlines and planning and prioritization of these tasks in an appropriate manner.
• The ability to work autonomously, take responsibility for own and team’s work and identify issues that require escalation to a higher level
• A motivated team leader with a "can-do" and solutions focused attitude.
• Strong coaching and mentoring skills.
• Strong team-player who is both supportive and willing to help out.
• A pragmatic and logical approach to analysis and problem solving, ability to take decisions based on facts and circumstances applying principles learned.
• Extremely high level of attention to detail is essential.
• Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
• The ability to handle sensitive/confidential information appropriately.
• Prior working experience in a compliance or audit role is a distinct advantage.
• Excellent knowledge of E&I regulation, policy, and process.