Kleinwort Hambros has a wealth of experience in helping individuals, families, entrepreneurs, charities and their advisers to manage their financial assets, whether they are based in the UK or overseas.
At Kleinwort Hambros, we know how to simplify life’s financial challenges. We also understand the importance of creating a strong relationship with our clients. Driven by shared values of team spirit, commitment, responsibility and innovation, all our teams are focused on delivering a truly personal service. All our staff, regardless of their role, help create better, deeper, more personal relationships with our clients, while offering them a greater level of service and opportunity.
The First Line Operational Risk Senior Manager oversees the implementation, coordination, steering, challenge and the animation of the Level 1 control framework and the control of operational risk of its BU/ SU or Entity. This role requires close collaboration with the operational managers of the perimeter, who are ultimately responsible for the quality of the permanent level 1 control framework’s performance on their activities. The mission is to deploy and monitor the Operational Risk Management and Permanent Level 1 Control Framework on its scope of responsibility and undertake the RCSA exercise. In addition work with the Compliance and HO Teams to deliver and record the Anti Bribery and Corruption Risk Assessments to the KH business and ensure this is recorded accurately in the group tools.
The holistic approach ensures that risks are identified and qualified, that the operational risk management framework is deployed, that Level 1 controls are deployed and carried out, that losses and incidents are analysed and reported to the correct committees, with a view to a continuous improvement of the overall risk framework.
Roles and Responsibilities
- Lead the Operational Risk function within KH (team of 3-4 members) in the fulfilment of their responsibilities as listed in the previous section.
- Support and deputise, where required, for the head of LOD1 Risk and Governance at various committees and forums
- Lead the LOD 1b Risk Team in the timely and accuracy of their MI and monthly reporting packs
- Support the team in their delivery against Internal Audit findings and and My Actions (Internal tracking tool) findings to ensure timely closure and prevent overdues
- Lead the team with T2eorem (risk Incident collection tool) initiatives and completion, to align to the group model
- Chair weekly Team meetings with the team, recording minutes and uploading in SMR file