Global Head, Regulatory and Conduct Risks

**Job Summary**- The Global Head, Regulatory and Conduct Risks, will hold responsibility for the leadership of the function as it relates to Compliance and Conduct. This is a senior leadership role within the Compliance function, with direct reports being at Managing Director level.- Core responsibilities will include the design of the Compliance and Conduct Risk Type Framework (“RTF”) in alignment with the Enterprise Management Risk Framework (“ERMF”), proposing Risk Appetite in relation to Compliance and Conduct Risks, reviewing and responding to Risk Assessments across all relevant policy areas, and will be required to ensure accurate and complete reporting to relevant governance committees.- The role holder will have responsibility for overseeing the teams that execute the relevant aspects of the Compliance and FCC Principal Risk Type Frameworks for the Group’s Functions and the SC Ventures business. The latter includes oversight of compliance arrangements for Digital Assets.**Key Responsibilities**

**Strategy**
- Contribute to the development of the Group’s strategic plans and alignment with risk appetite
- Lead the development of the function’s strategy, frameworks and governance agendas
- Lead the Group’s Conduct Agenda including the Code of Conduct and Ethics
- Lead the Group’s approach to ensuring compliance with regulation broadly, and for CFCR owned regulation specifically.
- Represent the function in relevant committees or management forums
- Prepare or contribute to Compliance and Conduct related materials to regulators, investors, analysts and rating agencies (such as annual and interim results).
- Align the function around its vision and strategic intent and ensure that all projects align to this and the Group’s strategy.
- Responsible for the development of performance management processes, to encourage development of an appropriate risk culture and discipline.
- Responsible for CFCR related disclosure to regulators, investors, analysts and rating agencies as they relate to policies for which I am the Policy Owner

**Business**
- Maintain and develop the CFCR capabilities, and skills to meet ongoing business needs and plans.
- Provide strategic advice on relevant risks as required by senior management in all lines of business.
- Equip the function to provide transactional advice on relevant risks in all lines of business.
- Drive business enablement through the effective and creative design of control frameworks so that financial crime compliance becomes a strategic advantage.
- Identify, measure and monitor to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive CFC risk mitigation affecting Functions and SC Ventures portfolios in the context of the external market environment.
- My responsibility does not extend to the management of stakeholders or day to day engagement with the Businesses. That responsibility sits with the relevant CCO.
- Processes- Responsible for discharging Process Universe related responsibilities as defined in the ERMF:
- Identifying processes within the CFCR function related to policies for which I am the Process Owner, and ensuring completeness and accuracy of the identified processes;
- Ensuring that all Compliance and Conduct processes have named Process Owners and comply with the standards set by Operational Risk Type Framework (“ORTF”), with appropriate segregation of first
- and second-line responsibilities as they relate to the Process; and
- Reviewing, challenging, and providing oversight of the risk profile of the overall FCC process universe.
- Supervise all processes where a member of the CFCR Functions and SC Ventures team is the identified first line process owner.
- Act under delegation from the respective Risk Framework Owners for the principal risk types of Compliance, Conduct and FCC in discharging the responsibilities contained in the ERMF to the extent that CFCR Functions and SC Ventures is the appropriate second line risk owner.
- Provide governance and oversight over the implementation of CFCR related policies and procedures (to enable compliance with such policies and procedures) in Group Functions Advisory and SC Ventures.

My responsibility does not extend to the creation or administration of IT systems or data bases required for Processes as a systems business owner. That responsibility sits with the COO, Risk & CFCR.- People and Talent- Setting and monitoring job descriptions and objectives for direct reports. Providing meaningful feedback and reward in line with performance against those responsibilities and objectives.
- Ensure the provision of ongoing training and development of people and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
- Employ, engage and retain high quality people, with succession planning for critical roles.