Senior Manager - Enhanced Supervision

• To assist with the leadership of the Enhanced Supervision team, ensuring the effective and efficient supervision of the regulated entities that are subject to enhanced supervision, line
• management, smooth running of the team and appropriate allocation of team resources;
• To ensure the Enhanced Supervision team completes all deliverables; and
• To support the HMI Supervision team as well as other Divisions.
• Assist with the management of the Enhanced Supervision team, providing leadership, motivation, coaching, setting stretch objectives and working with team members to identify and address relevant development needs to facilitate a high performing, engaged team.
• Effectively deliver the Supervisory Methodology centred on risk-based supervision, including all supervisory activity associated with the regulated entities subject to enhanced supervision, ensuring the systems and procedures are correctly followed and utilised.
• Oversee the work of any external parties appointed to support the enhanced supervision process and any remedial measures, and to review, analyse and report on reports made.
• Impose and manage timeframes imposed on regulated entities in enhanced supervision and action any remedial measures.
• Apply the statutory powers in cases requiring intervention and make recommendations to the Head of HMI and Enhanced Supervision.
• Participate in the processes and functions supporting enhanced supervision.
• Develop and maintain the systems, procedures and controls.
• Provide oversight and governance (monitoring, reporting and communicating) to manage the Core Values: Integrity, Respect & Excellence
• Implement plans to achieve the enhanced supervision objectives, anticipating potential problems and taking the necessary pre-emptive action, ensuring the highest quality of work is produced by the team.
• Plan, co-ordinate, deliver and support the enhanced supervisory activities across regulated
• sectors.
• Review and manage the risk assessment process of regulated entities in enhanced supervision.
• Identify and assess potential risk trends and supervisory themes.
• Participate within supervisory panels and ensure cross-divisional collaboration takes place.
• Develop and maintain effective relationships with regulated sectors and where applicable
• individual entities, other regulatory agencies, relevant industry bodies and government agencies.
• Ensure that public enquiries (including complaints against regulated entities in enhanced supervision) are dealt with timely and efficiently in a courteous and constructive manner.
• Produce and otherwise assist with the production of papers and reports on enhanced supervisory matters and periodic reports to the Board.
• Support the Head of HMI and Enhanced Supervision with matters (including breaches of the relevant regulatory requirements) within the Division's remit.
• Lead on enhanced regulatory action and assist with formal enforcement action and referral and ongoing co-operation with the relevant Divisions as they address those matters.
• Provide key data requirements along with supporting analytics to enhance the assessment of risk.
• Develop key relationships both domestically and internationally to further our ability to reduce threats to our regulatory objectives through sound supervisory practices and information sharing.
• Contribute to introduction of new or amended legislation, guidance, policies and procedures to ensure regulatory requirements remain appropriate and comply with international standards.
• Contribute to the processing and assessment of applications to undertake regulated activity against licensing and registration policies; and consider elements of the reviews of the fitness and propriety of individuals proposed for Controlled Function roles.
• Contribute actively to strategy setting, risk horizon scanning and to a positive culture
• Embrace and support a risk based approach across the Authority, including ongoing triage of work efforts and resources to achieve completion of highest priorities.
• Be a change agent: actively support and adopt changes in the Division, in the continued drive for improvements and automation.
• Volunteer/take on additional projects/tasks to support the Head of HMI and the Enhanced
• Supervision team and carry out any other duties as required.
• Collaborate with staff to achieve efficient and effective implementation of strategic priorities and divisional work plans.
• Lead by example to ensure enhancement of a high performance, inclusive and diverse culture.
• Support the rollout of a more focused and comprehensive performance management approach, including holding staff accountable for set targets, utilising performance improvement plans where appropriate, actively implementing and overseeing staff development and training plans.
• Suggest and implement the wider use of metrics/divisional plans to provide improved quantitative KPIs to manage the Division / enterprise wide to support reporting to the Head of HMI and Enhanced Supervision and other internal and external stakeholders

• Holds a professional qualification relevant to the financial services industry.
• Hold an accounting qualification - Desirable
• Evidence of continuing professional development (CPD).
• Extensive relevant finance sector industry experience in an operational, compliance, assurance, risk or audit role.
• Working experience in fund services and investment business.
• Proven experience in a leadership/ management role with the ability to work in a collaborative style.
• An extensive working knowledge of the financial services sector and associated legislation, including  compliance and risk management, along with an understanding of trends and developments.
• Strong people management, coaching and leadership skills providing support that inspires and motivates all team members to reach their full potential
• Strong analytical skills, a flexible attitude and the ability to quickly and accurately assimilate information, to consider any associated risks and to summarise the information effectively.
• Proven ability to build and maintain working relationships with both internal and external stakeholders at all levels including the ability to influence and negotiate.
• Ability to prepare, lead and conduct meetings with senior stakeholders both internally and externally including dealing with difficult/contentious issues and having the ability to challenge these.
• Ability to work under pressure, manage/oversee individual and team workloads of varied complexity, to manage competing priorities and to deliver against deadlines.
• Subject matter expertise in relation to risk and risk frameworks, including the ability to identify, evaluate, rate, manage and mitigate risks and the ongoing monitoring and review of risks.
• Demonstrates strategic thinking, the ability to plan, work and make decisions accordingly.
• Ability to lead and contribute to wider Authority initiatives.

Your specialist: Debbie Amankwa

Quote job ref: 16048

Hi, I'm Debbie and I look forward to receiving your submission for this fantastic opportunity with this business.

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