Interim Senior Conduct Risk Analyst

Role Purpose
To support the Conduct Risk Manager and wider Compliance team with day-to-day conduct risk and complaints activities, including attending client product oversight meetings, reviewing fair value assessments, producing conduct-specific management information reports, and acting as a subject matter expert on Conduct Risk and Complaints matters.
Generic Tasks 1. Information Security (ISO 27001)

• All staff: Comply with all relevant Information Security Management System (ISMS) policies, including Clear Desk and Screen, annual IT security training, and Information Systems Usage policy.
• Managers: Ensure that all direct reports comply with ISMS policies.

2. Conduct Standards – Tier 1

• Comply at all times with the PRA/FCA Conduct Standards:
  1. Act with integrity
  2. Act with due skill, care and diligence
  3. Be open and co-operative with regulators
  4. Pay due regard to customer interests and treat customers fairly
  5. Observe proper market conduct standards

Key Tasks

1. Support the Conduct Risk Manager in delivering the organisation’s annual compliance plan, including conduct risk and complaints workstreams.
2. Oversee and maintain the Conduct Risk Framework, ensuring accurate monitoring and reporting of client conduct risk exposure, handling conduct risk referrals, and keeping client conduct risk profiles up to date.
3. Analyse regulatory changes relating to Conduct Risk and provide timely, actionable updates to internal teams and clients.
4. Review compliance policies annually and develop new policies where required.
5. Lead regular compliance meetings with managed clients, offering expert advice and guidance.
6. Design and deliver Conduct Risk and Complaints training, both online and in person, to internal staff and clients.
7. Monitor responses to complaints, oversee the administration of complaints systems, and ensure robust handling processes.
8. Draft Conduct Risk and Complaints communications regarding regulatory changes for internal staff.