David Roach Email & Phone Number

Tonbridge, Gb

London, England, Gb

London, England, Gb

Head of ComplianceHead of Second Line Testing (Compliance, Operational Risk & Financial Crime)Head of Conduct RiskRegulatory Liaison

London, England, Gb

Head of Compliance Head of Conduct RiskRegulatory Liaison

London, Uk, Gb

London, Uk, Gb

- Second-line oversight of implementation of LBG Conduct Strategy across all Group Operations business units;- Support the development of customer centric risk appetite measures;- Drive customer centric strategies;- Provide point of reference and escalation for conduct and regulatory events/breaches;- Conduct oversight of business and divisional financial planning/investment strategies;- SME for Competition risk, Payment Services Regulation, Depositor Protection Regulations

London, Uk, Gb

- Provide oversight and independent challenge to the effectiveness of risk decisions taken by business units, reviewing, challenging and reporting on risk profile;- Ensure compliance with the firm’s procedures, guidelines and reporting requirements as well as relevant regulatory and statutory requirements;- Provide support to regulatory change initiatives;- Provide subject matter expertise;- Actively develop and maintain relationships with a wide range of stakeholders to obtain/exchange information, identify best practices, ascertain future requirements and respond to changes in the internal and external business and regulatory environment.

BBA LIBOR is a widely used benchmark or reference rate for short term interest rates world-wide. The rate is used for a range of applications, from retail mortgages, to commercial loans, and as a reference rate in derivative contracts.Secondment to support the transition of LIBOR administration to the new Administrator:- Ensuring that BBA LIBOR Ltd was fully compliant with the FCA regulations and any other relevant rules;- Maintain accurate, timely and sufficient reporting to demonstrate compliance with the regulations;- Produce/present responses to regulatory information requests;- Provide regular updates to the Board;- Liaise with key stakeholders including the Financial Conduct Authority, submitting banks, trade bodies.

London, Uk, Gb

- Provide specialist compliance and conduct risk oversight and advice incorporating business/customer needs, external best practice and regulatory requirements;- Ensure compliance with the firm’s procedures, guidelines and reporting requirements as well as relevant regulatory and statutory requirements;- Analyse external trends ensuring a range of information is used to support development of compliance strategies;- Support development and implementation of processes, systems, MI, documentation, etc, ensuring changes are fully communicated and understood by all stakeholders;- Actively develop and maintain relationships with a wide range of key customers, suppliers, colleagues and peers to obtain/exchange information, identify best practices, ascertain future requirements and respond to changes in the internal and external business and regulatory environment;- Contribute to the development of business plan.

London, Uk, Gb

- Assess and communicate impact of horizon risk ensuring plans are in place which support compliance and where possible, strategic advantage;- Drive and define responses to legal/regulatory consultations (EC, FSA, OFT, BIS, ICO, HMT, OFCOM, etc);- Provide SME to direct appropriate risk identification and control environment;- Provide risk oversight, challenge and governance support to change projects;- Develop and maintain strong relationships with internal and external stakeholders;- Maintain advanced knowledge of key legislation impacting the financial services industry

London, England, Gb

- Represent firm at industry forum;- Support the management of firm's regulatory reporting obligations;- Provide regulatory compliance support and guidance to business units and other risk functions

London, England, Gb

- Represent firm at industry forum;- Support design and day to day management of complaints policy and processes;- Undertake audit activity to ensure compliance with internal policy and external regulation

London, England, Gb

- Monitoring of media sources, research and analysis into criminal trends and the development of customer and criminal profiles;- Tracking of horizon regulation and the provision of commentary to senior stakeholders

London, England, Gb

- Manage portfolio of Corporate relationships;- Proactive monitoring and review of credit facilities;- Reporting on exposures, risk/reward ratios, product utilisation

London, England, Gb

- Manage portfolio of Personal relationship;- Non-regulated product sales

London, England, Gb