Client Controls Senior Manager

• Manage and deliver the (WME) Risk and control assessments (RCSA at both risk level and process level) including Head of RBC Brewin Dolphin attestation
• Assess CFT key risk indicators (KRI’s) and risk appetite measure KRIs (RAM KRI) in partnership with Ops Risk to RBC Enterprise standards and perform periodic KRI refresh
• Complete the mapping of key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT
• Work with CAO Client Administrative Services team and Operational Risk to maintain oversight on Operational Risk Events (OREs) – ensuring that the control environment remains effective against live and emerging threats
• Deliver the quarterly CASS (CORF) attestation
• Deliver monthly CASS Resolution Pack assessment and attestation
• Ensure audit activity related to Controls (including CASS risk) is managed by the Client Controls team. This includes the running of the PwC AAF and CORF audits (in partnership with Business Risk Management) including the completion of attestations
• Providing clear guidance to CFT to enable them to comply with RBC Brewin Dolphin frameworks and policies such as Conflicts of Interest and Gifts and Hospitality by designing and maintaining procedures and the accountability framework
• Build a framework and governance structure for business changes to be considered / impact assessment considered against the control register and updates made to maintain a fit for purpose controls inventory
• Representing the CAO in appropriate working groups and proposing ideas / solutions on behalf of Client Controls

• Proven experience within the financial services sector, ideally within a wealth management environment
• Experience in risk lifecycles, i.e. leading complex risk programmes
• Expertise in designing and implementing frameworks that enhance execution and embed effective risk management practices
• Experienced operational risk leader, managing a risk team
• Experienced and competent at managing business projects and coordinating business initiatives in a structured manner
• Good understanding of adherence to regulation and policy and able to evidence experience of embedding this in a similar environment
• Proven project management skills, well organised and able to motivate and manage a group to deliver good outcomes for clients and colleagues
• Able to understand and motivate non-client facing functions whilst always keeping the client in mind
• Developed presentational and influencing skills to senior committee level (i.e. SteerCo / ExCo)

Previous line management of a team performing a similar role to the Client Controls team e.g. Risk

• Leaders who support your development through coaching and managing opportunities
• Opportunities to work with the best in the field
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team