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.
- 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
- 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