Compliance Monitoring & Testing AVP

Randstad Business Solutions ,
London, Greater London
More Details
Job Type: Full-time

Overview

Main Purpose of the Role : To contribute to the overall success of Compliance Monitoring & Testing and its objectives by delivering a risk based programme of second line compliance for the EMEA region. The role includes support of both the Global Head Offices' Monitoring programmes and EMEA based testing which may also include opportunities to travel to offices located within EMEA. The role may also involve ad-hoc investigations, projects and thematic reviews. You may also be asked to support wider initiatives and undertake other tasks and responsibilities in Compliance Monitoring & Testing Key Responsibilities: In this role, you will be responsible for the compliance monitoring and testing programme across the bank. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you. You will be expected to contribute to the overall compliance assurance and monitoring framework by: Applying experience as an SME to conduct risk based reviews and deep dives of the London business areas to provide assurance over compliance risk to key stakeholders Scoping reviews and developing test programmes for the business areas and assisting in the creation of the Annual Monitroing Plan Performing electronic and audio communcications monitoring to identify and investigate market abuse and general compliance breaches by London based staff Managing and taking ownership of the remediation of compliance issues identified Regularly meeting with and engaging with key business stakeholders in order to indetify key risk areas and refresh the annual risk assessment on a periodic basis Actively participating in current M&T projects such as data analystics and e-comms framework implementation ion EMEA Providing support to both the Bank and Securities Global Head Offices and the EMEA testing programmes Working in collaboration with the First Line to support their assurance programm Providing MI for Management meetings and Head Office requests and being able to clearly understand and explain how an identified issue increases risk for the bank Performing ad-hoc investigations where required Coaching, supporting and training junior members of the team Skills and Experience: Functional / Technical Competencies Excellent Excel skills Strong understanding of Banking risks and regulations SME in markets business desirable Strong relationship management skills, as well as communication (written and oral) with senior stakeholders Effective time management skills, with the ability to produce high quality output and meet tight deadlines Problem solving, analysis and reporting skills Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutions Ability to scope reviews, create test scripts and review the work of others Strong compliance testing or auditing experience required Broad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing Experience Essential: Experience in a Compliance monitoring and testing function Education / Qualifications Degree level Relevant industry qualifications relating to Compliance preferred, e.g. CISI Behavioural Competencies Attention to detail Has practical ideas and makes recommendations that challenge current practice Takes a solution focused approach to promote continuous improvement Incorporates new behaviours and changes quickly to serve as a role model to others Fully supports a 'best practice' environment Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

People also viewed