Treasury Risk Manager ( Dealer room and issuance Complianace)

Resource Solutions - TSB (Temp)
600.00 - 650.00 GBP Daily
18 Oct 2016
25 Oct 2016
Contract Type
Full Time

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