Associate Director, Governance and Controls (Private Wealth)

Job Description

Responsibilities

To enable the Private Wealth to deliver high quality services and achieve the Group, Jurisdiction and Private Wealth’s strategic objectives in relation to the company’s corporate governance, compliance and regulatory obligations.

To assist with the continuous improvement of the business through the ongoing review, development and implementation of best practice for the Private Wealth governance and operating framework.

Tasks 

• Review and develop operational policies and procedures to ensure they meet requirements in relation to compliance with all applicable laws, Group policies etc.
• To ensure the effective roll out of new and revised policies and procedures to the relevant teams
• Ensure design and implementation of operational processes and procedures enhance client teams’ ability to deliver superior client service
• Provide support to the Private Wealth segment in co-ordination of projects or technical developments
• To work with colleagues in risk and compliance to ensure that improvements to procedures arising from root cause analysis of risk events, incidents, and compliance monitoring findings are implemented
• To enable the continued drive for efficiency and effective monitoring and review via process and systems development
• Build effective working relationships across all business areas and teams within Guernsey
• To liaise with counterparts in other region, particularly the Crown Dependencies, to share good practice and move towards a more standardised operating model
• To arrange and facilitate delivery of training for staff on key policies and procedures
• To assist in the development and maintenance of the Business Continuity Plan
• Ensuring an environment of shared knowledge and learning exists to deliver superior client service.
• Acting as a role model to implement a culture which supports the Group Values and ensure engagement of all staff to deliver excellent client service, operational effectiveness and efficiencies
• Actively lead and perform in line with both local and Group initiatives
• Proactively participate in the promotion of a positive culture at both local and Group level
• Pro-actively manage own development, encompassing both technical and leadership requirements to a level appropriate to role that supports the Group Values
• Use your own judgement to bring to the attention of (senior) management any issues which you feel appropriate, in particular ensuring that concerns and identified risks are reported in a timely and effective manner

Key behaviours we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

• Influencer
• Strong communicator
• Positive
• Committed