Senior investment and commercial banking professional - Investment operations

K1: Strategic insight: Demonstrates excellent knowledge of key business objectives and measurements of success. Builds understanding of different organisations and the environments they operate in, and the broader market perspective. Understands the impact of business decisions on relevant and affected communities. Understands the implications of relevant risks and risks management in the context of making business decisions.

K2: Industry and organisation understanding: Excellent understanding of the Financial Services industry and in particular the role their part of the sector and organisation plays; the purpose of the function in which they work; how their function relates to the wider business. Deep understanding of the impact the external environment has on Financial Services and their role, together with relevant best practice. Excellent understanding of the organisation’s ‘Values’ and professional standards, and how these are evidenced through their role. Clearly understands the purpose of the different areas of the organisation they need to work with in their role and how they support them. Excellent understanding of issues for the industry and impact on organisational strategy, including awareness of new and arising industry developments.

K3: Financial Services legal, regulatory, risk, compliance framework: Advanced understanding of the Financial Services legal and regulatory framework and ethics, and the purpose behind them. In-depth knowledge of the risk and governance frameworks of the organisation , industry and how these manifest themselves in the role, plus minimising strategies. Deep understanding of relevant rules and principles for their own role, team. Can clearly articulate the implications of non-compliance for their organisation and their own responsibility within this. Keep up to date with changes.

K4: Products and services: In-depth understanding of the purpose, technical content and features and benefits of the financial service products and services that they support and deliver to clients and customers. Particularly as it relates to their responsibilities e.g. inherent risks that need to be managed. Demonstrates understanding of competitor and wider market products and services.

K5: Clients and customer segments: In-depth understanding of the client and customer segments that the organisation delivers to, the channels that they use and the approach to delivering fair client and customer outcomes across the business in a financial services setting including best practice. Excellent understanding of client’s and customer’s relevant financial service requirements relevant to their role (internal and external as appropriate).

K6: Systems and processes: Excellent understanding of the organisation’s technical policies and procedures. Full understanding of the systems, tools and processes used in the role, together with the standards to be met. Proficient in relevant IT skills, this may include the generic (e.g. Excel), and organisation and Financial Service specific software and systems required to deliver the role outcomes. Deep understanding of how these support and fit within the corresponding markets and counterparty organisations.

K20: In-depth knowledge of business being supported to include market practices and their impact on the area under ownership.

K21: Excellent understanding of internal processes and project management principles.

K22: Excellent knowledge of regulatory environment and internal control frameworks

K23: Excellent knowledge of Investment and operational risk and how to control it.

K24: Knowledge of the linkages between processes and the end-to-end flow of information within their areas, and those which impact their areas.

S1: Strategy and planning: Leads the development of strategic and operational plans for their area, effectively planning service delivery for their team(s) as appropriate. Manages and reports on progress of specific elements of this in their area of responsibility. Analyses future financial and other relevant market changes, and the individual’s, organisation’s and client’s and customer’s future financial service needs and requirements, articulating the opportunities this may present. Identifies opportunities that can add value for the individual, organisation and client. Proactively plans and organises their work and time, clearly identifying priorities, to meet commitments, KPIs and deadlines, including regulator deadlines. Contributes to the development and delivery of business KPIs, and team performance measures in line with company policy, values, standards and regulatory requirements.

S2: Client and customer relationships: Develop and grow ethically sound and trusted relationships with clients and customers to form the basis of a long-term partnership. Works at strategic level with clients and customers to identify their on-going business and relevant financial service requirements. Provide flexible and innovative solutions, integrating products and excellent service, which help them meet their needs and best interests, now and in the future. Makes introductions to colleagues and other departments to provide these solutions and add value, when relevant.

S3: Change management and continuous improvement: Takes ownership of the of strategic business changes from development through to implementation. Able to communicate the vision for change and then make it happen – this may include projects wider than their role, and where appropriate creating that vision. Identifies and implements opportunities to drive higher performance and improve service delivered

S4: Problem solving and decision making: Evaluates complex information quickly and draws accurate conclusions. Assesses a problem from multiple angles to ensure all relevant issues are considered, and are focussed on business strategy. Gathers the appropriate facts and evidence in order to make decisions effectively using a structured approach. Plans for and responds appropriately to unexpected events. Proactively manages and takes action to avoid corporate and operational risk, within relevant economic and market conditions, and sector relevant legal and regulatory requirements.

S5: Communicating, influencing and networking: High level of interpersonal skills, including communication and negotiation, through a range of media, using appropriate language, working with clients and customers up to CEO level, and where appropriate, up to CEO, Board level in own organisation. Communicates complex ideas and concepts clearly. Engages proactively with clients and colleagues, including senior management. Challenge and influence at senior level to ensure the desired course of action to deliver business requirements. Networking at senior levels in own organisation, clients and customers and the wider market to deliver business outcomes. Understands the formal and informal networks within, and external to an organisation, and knows how to effectively utilise those.

S6: Teamwork and collaboration: Demonstrates effective leadership, acting as a role model and providing leadership, guidance and challenge where necessary to their business area. Brings the right people and functions together, both internally and externally, to collaborate and deliver for the client and customer. Builds and maintains strong positive working relationships with clients, colleagues, suppliers and regulators as appropriate. Consistently supports colleagues and collaborates to achieve results. Provides clarity and direction to the team on their role, how their team fits within the business, and how the team’s decisions impact on others.

S7: Developing self and others: Keeps up to date with sector relevant legal and regulatory changes and alerts others to the implications. Builds their capability by being responsible for their own professional development, seeking out opportunities that enhance their knowledge, skills and experience. Takes responsibility for development of others as appropriate, working with juniors to build their expertise and understanding of their responsibilities e.g. through coaching, training, other opportunities. Seeks feedback and acts on it to improve their performance. Actively shares best practice and acts as role model.

S21: Demonstrates advanced people management skills to include influencing outside sphere of control, delivering strategic leadership to teams and junior managers in order to deliver excellent customer service in a regulated environment. This will include team coaching, performance management, resourcing and budgetary management.

S22: Demonstrates excellent project leadership skills and execution of control framework.

S23: Demonstrates an understanding of the “bigger picture” as it relates to products and services – e.g. what is the impact of a change to a process and service as triggered by a regulatory and strategy change on an end-to-end basis.

S24: Demonstrates strong analytical skills, and uses them to refine or develop processes and controls

B1: Honesty and integrity: Truthful, sincere and trustworthy in their actions. Uses empathetic approach and acts in the best interests of the customer and client. Shows integrity by doing the right thing. Maintains appropriate confidentiality at all times. Visible role model, leading by example and coaching others where appropriate. Identifies ethical dilemmas, understands the implications and acts appropriately

B2: Adaptability and resilience: Adapts positively to changing work priorities and patterns and is flexible to the needs of the organisation. Demonstrates willingness to adapt approach to assist organisation and individuals to manage priorities as circumstances change, when new tasks need to be done, or business requirements change. Responds positively to change.

B3: Professionalism: Displays energy, enthusiasm and a results based approach in the way they go about their role. Dealing positively and with determination when setbacks occur or when managing difficult situations. Stays positive under pressure, taking others with them.

B4: Innovation and creativity: Demonstrates an attitude that includes a curious and questioning mind. Is creative, innovative and enterprising when seeking solutions to business needs, whilst understanding relevant boundaries e.g. regulatory. Actively seeks out new ways of working.

B5: Attention to detail: Handles tasks with thoroughness and accuracy. Takes ownership for the quality of their own work and that of the wider team, recognises and resolves errors.