Policy and Training (TD126)
Royal Bank of Scotland Group - Stamford, CT

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Role/Team Summary

The role is a member of M&IB’s Central Compliance team. The Central Compliance team is responsible for Registrations, Control Room, E-Communications, Surveillance, Gifts and Entertainment, Policies and Procedures, and Training. This role will be a member of the Policies/Procedures and Training unit with focus on the development and delivery of training and policy content for AML and Non-AML Compliance.
Responsibilities §

Translating relevant policy standards into procedures and ensuring these have been approved in accordance with M&IB protocols. §

Preparing requests for EtPs to Group and submitting to the Divisional Head for their endorsement prior to seeking Group approval. §

Ensuring policies and procedures comply with applicable external laws and regulations in all the jurisdictions in which the Division operates; where these differ, ensuring the higher standard is met. §

Ensuring the periodic review (annually) of applicable policies and procedures. §

Ensuring ad-hoc reviews of applicable policies and procedures as a result of emerging themes and regulatory developments. §

Ensuring updates to regional policies are are communicated on a timely basis to all relevant stakeholders. §

Supporting the business in its management of risks, both in existing and proposed products, services and systems, through the provision of expert advice. §

Managing EtPs and making recommendations / endorsements for approval as required. §

Liaising with Group, RBSA and Divisional counterparts, and contributing and attending relevant networks and forums. §

Ensuring policy standards are communicated to M&IB employees. §

Developing the annual Training Plan. §

Supporting the development of specialist/targeted regional specific training material and producing training material for courses where required. §

Supporting the monitoring of delivery against the annual learning plan for the region and modify plan as needed. §

Supporting the preparation of required training compliance reports as part of the monitoring process. §

Supporting the development of new or required amendments to existing, regional training material as a result of Policy changes, external regulatory issues and new business issues and/or to ensure the effective mitigation of business risks as needed. §

Supporting the evaluation of all training activity delivered within the region and/or updating any regional specific material as appropriate. §

Develop and maintain tracking of all training delivered versus population

Deliverables

Training: §

Development of the Annual Training Plan §

Develop training modules for deliver to M&IB employees §

Assist in the development of a training calendar by utilizing technology and tools §

Assist in the strengthening and automate MI of training completion rates §

Assist in the strengthening and automate method of tracking completion rates

Policies/Procedures: §

Develop policies and procedures in accordance with group and divisional standards §

Utilization of the Wolters Klur tool §

Assist in the development of a Policy Inventory §

Assisting in the development of an ETP inventory

Scope of Role

Front Office Advisory / Transactional Support: § The provision of regulatory analysis and advice in relation to new products (including the attendance of Term Sheet Committees, New Product Approval Process “NPAP”, Significant Change Assessment Policy “SCAP” and Structured Transaction Approval Procedures “STAR”) business initiatives and bespoke projects. §

Interfaces with stakeholders in the businesses and in Risk to identify and manage real and potential impacts that regulatory issues have on new or ongoing business operations. §

Working closely with the front office teams, where relevant, in providing timely regulatory advice to ensure compliance with all relevant laws and regulations, pre-emption and prevention of regulatory breaches, and that failures and shortcomings are escalated accordingly. §

Building and maintaining effective partnerships within the business. §

Ensuring issues are identified and appropriately managed.

Centre of Excellence: §

To provide specialist regulatory advice on defined product areas and to assist the overseas Compliance Officers, thereby ensuring to the extent possible, consistency of approach on new products, policy and procedures and transactional matters. §

Be a member of and contribute to one or more of the Regulatory Risk & Compliance Communities. §

Promote awareness of applicable regulatory standards, upstream risks and industry best practice across the business and relevant support areas including risk. §

Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation. §

Provides businesses and Risk leaders with expert input for regulatory policy and strategy development across RBS Group.

Investigations & Discipline: §

To engage in investigations that may be instigated internally or externally by regulators/other agencies, as well as HR investigations/disciplinary procedures concerning M&IB staff. §

Assist with ad hoc regulatory investigations as directed by the Line Manager. May accompany the businesses or risk leaders in interface with regulators to provide information or respond to inquiries. §

Determination of what exceptions to policy will be granted §

Determination of what trading is deemed to be violative per policy guidelines and what corrective action should be taken

Experience

Essential
- Prior experience in a role in policy and procedure development
- Prior experience in a role in training and delivery development
- Financial services background

Desirable
- Prior experience in another Compliance role
- Prior experience in IT or Project Managment

Royal Bank of Scotland Group - 16 months ago - save job - block
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