Core Compliance Quality Assurance

Robert Walters ,
London, Greater London
More Details
Job Type: Full-time
Salary: £50,000 per annum

Overview

This is an exciting opportunity at a global, highly reputable bank. This a quality assurance role covering non-financial crime compliance areas with a wide range of responsibilities - from helping to design / implement the QA function, to assessing / testing various compliance teams, to the production / presentation of management reports. The wide range of responsibilities makes for a very interesting, diverse role. MAIN PURPOSE OF THE ROLE Reporting to the Head of Core Compliance Quality Assurance, the role holder will be responsible for helping to design and implement a quality assurance (QA) function within the Core Compliance area (i.e. covering all non-financial crime compliance risks). The role will include assisting in the design of the overall framework, providing guidance on best practice and executing QA reviews and other QA related projects under the direction of the Head of the Division. KEY RESPONSIBILITIES Assist in developing a QA governance and reporting framework for Core Compliance consistent with regional Operational Risk and other relevant standards, and integrate with existing processes where appropriate e.g. self-identified issues The framework should inter alia ensure that internal risks and controls within Core Compliance are documented and understood and documented consistently by the individual teams Plan and conduct reviews and other relevant monitoring and testing to assess the design and operation of controls operated within Core Compliance Functions, under the direction of the Division Head Identify key control requirements and design assessments to strengthen and enhance the control framework Work with Core Compliance teams to help them address control challenges and new initiatives, including giving guidance on design and execution Assist in the production and presentation of management reports showing details of the control framework, progress of the QA work programme and highlighting issues arising Provide guidance to CC teams to assist preparation for other reviews such as internal and external audit Work collaboratively across functional teams within CC to ensure effective and efficient operations with clearly defined roles and responsibilities Work to identify best practice in QA, including sharing know-how with GFCD, Risk, Internal Audit etc. and obtaining knowledge of industry best practice The function is expected to initially focus predominantly on CC in London, but key know-how and relevant issues should be shared across the EMEA offices from the outset and a more detailed programme developed for those offices at a practicable date in due course. WORK EXPERIENCE Essential: Significant experience in a control function in the financial industry Assessing and/or designing internal controls, ideally gained within an audit environment Preparing reports and presenting to Senior Management SKILLS AND EXPERIENCE Functional / Technical Competencies: Essential: Proven excellence in assessing risks and controls and identifying gaps Collaborative with strong interpersonal communication skills Systemic thinking across enterprise Process oriented coupled with a strong ability to develop appropriate programme enhancing strategies Detail oriented and organized execution Excellent presentation skills and written skills Demonstrated ability to manage multiple projects simultaneously The ability to interact effectively at all levels of the organisation Education / Qualifications: Essential: Graduate Qualified Preferred: Audit Qualifications PERSONAL REQUIREMENTS Excellent communication skills Results driven, with a strong sense of accountability A proactive, motivated approach. The ability to operate with urgency and prioritise work accordingly Strong decision making skills, the ability to demonstrate sound judgement A structured and logical approach to work Strong problem solving skills A creative and innovative approach to work Excellent interpersonal skills The ability to manage large workloads and tight deadlines Excellent attention to detail and accuracy A calm approach, with the ability to perform well in a pressurized environment Strong numerical skills Excellent Microsoft Office skills

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