Compliance
A Global Financial Services firm is looking to recruit an Assurance and Monitoring Manager to work within the Corporate Banking Division’s Compliance Team. Joining at Manager level, you will have a significant input into defining the compliance monitoring framework at divisional and group level.
The Client:
A world leader in the financial services industry, this role sits within the Group Compliance function that has oversight of the divisional (Investment Banking, Corporate Banking Wealth) as well as group compliance policy. After a recent restructuring of their Risk Compliance function, the firm is now actively transforming their compliance culture; bringing in a new approach to conduct risk and ensuring the bank operates at the highest possible standards.
The Role:
As an integral part of the CBD Compliance Team, you will be responsible for carrying out detailed desk and thematic reviews, employing a range of investigative techniques. You will need to provide expert advice to the business on the management of risks. The main responsibilities will include:
• Gain a comprehensive understanding of the current risk and control environment, through desktop reviews, interviews and process walkthroughs
• Undertake planned and ad hoc assurance reviews of activities within the division, including periodic reviews of products services, policies procedures, activities of business units Conduct Risk teams, to ensure compliance with Group standards
• Responsible for producing and maintaining key review outputs (e.g. terms of reference and reports) including clearly articulation of risks and issues identified as a result of reviews undertaken
• Verify the effectiveness and timeliness of remedial action to ensure that this adequately controls the underlying risk
• Provide senior executives with relevant management information and escalate concerns where appropriate
The Candidate:
The successful candidate will have a proven knowledge of conduct risk management disciplines and an understanding of how regulatory, political and reputation issues affect the division.
• Degree educated and preferably have relevant professional qualifications (such as CPA or ACA qualifications)
• Previous monitoring experience gained from Internal or External Audit or Monitoring within a compliance function will be very beneficial
• Good understanding of risk and control frameworks
• Excellent communication, writing and analytical skills and be able to work positively within a team environment
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