Key responsibilities
Personal Account Dealing (PAD):
* Advise staff on routine personal account dealing requirements and queries, appropriately escalating any complex/difficult issues.
* Where required, execute the On-boarding process of new joiners e.g. account disclosure, classifications etc. and assist with completing BAU updates of classifications and any specific restrictions for movers.
* Where required, execute the account disclosure and validation process with existing staff.
* Review personal account dealing requests to assess any potential or actual conflicts of interests or other issues, following up as needed and recording clear decisions.
* Assist with identifying improvements to the PAD policy, internal procedure and the PAD system
* Assist with providing management information and reports.
* Assist with delivering training to staff and performing monitoring/controls.
* Provide breach and escalation information, following up breaches as necessary.
Outside Business Interests (OBI):
* Advise staff on routine OBI requirements and queries, appropriately escalating any complex/difficult
issues.
* Where required, execute the OBI process for new joiners.
* Assist with reviewing staff declarations and assessing any potential conflicts, following up as needed and recording clear decisions.
* Assist with identifying improvements to the OBI policy, internal procedure and the OBI system
* Assist with providing management information and reports.
* Assist with delivering training to staff and performing monitoring/controls.
* Provide breach and escalation information, following up breaches as necessary.
Gifts and Invitations (G&I):
* Advise staff on routine G&I requirements and queries, appropriately escalating any complex/difficult issues.
* Work with key stakeholders such as the Events team and Compliance Anti-Bribery & Corruption team to help to ensure that ABC risks and conflicts of interest are well-managed and communicated and that appropriate disclosures have been made.
* Review and approve (if appropriate) any gifts and entertainments requests input into the G&I system, following up as needed and recording clear decisions.
* Assist with identifying improvements to the G&I policy, internal procedure and the G&I system
* Assist with providing management information and reports.
* Assist with delivering training to staff and performing monitoring/controls.
* Provide breach and escalation information, following up breaches as necessary.
Personal Relationships and Conflicts of Interest
* Advise staff on routine personal relationships and conflict of interest requirements and queries, appropriately escalating any complex/difficult issues.
* Assist with reviewing staff declarations and assessing any potential conflicts, following up as needed and recording clear decisions.
* Assist with providing management information and reports.
* Assist with performing related processes including training, monitoring/controls.
System and process Enhancement:
* Contribute to change initiatives and projects relating to PE systems and processes including automation and PowerBI
* Assist with identifying improvements and implementing enhanced approaches, with the emphasis on streamlining processes.
* Assist with identifying areas where local specificities are needed in design and implementation of Group systems to meet local best practices and regulatory requirements and follow these up.
* Assist with preparations for and management of audit assignments.
Breach Management
* Follow processes for breaches including investigate potential PE policy breaches, identify established breaches and any remedial action required, appropriately escalating any complex/difficult issues.
* Assist with reporting breaches to the Staff Breaches Working Group and any other bodies (e.g. ICCE dashboard, Conduct Escalation Committee).