Compliance Assurance & Monitoring Specialists
Purpose of the role:
A member of the Compliance Team, which performs Compliance Assurance and Monitoring, across the CBD division. Supports the team by:
- Gain a comprehensive understanding of the current risk and control environment, through desktop reviews, interviews and process walkthroughs.
- Use a co-ordinated, consistent and effective approach to risk monitoring and quality assurance testing through the effective use of the appropriate monitoring tools to identify areas of risk
- 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
- Undertaking monitoring reviews and testing activities to a high standard as directed by the Head of Assurance and Monitoring and the Assurance and Monitoring Team Manager.
- Using professional expertise to support the Assurance and Monitoring team, thereby protecting the business’s income, growth plans and vision of achieving World Class Risk Management
- Monitoring the ability of the Businesses within CBD to manage and mitigate risk through an independent programme of thematic reviews and quality assurance checking.
- Employing a range of investigative techniques including desk-based analysis, site visits and in depth interviewing.
- Escalating any identified breaches or material issues to senior management
General Duties:
2 Line of defence:
- Actively consider the inherent, material compliance risks of the business/organisation.
- Analyses the risk profile and seek confirmation that risks are being appropriately identified, assessed and mitigated to the desired level (i.e. within Risk Appetite).
- Supports the establishment of a robust risk and control frameworks which meet the strategic needs of the Group, including communication, training and awareness of these frameworks.
- Provides expert support and advice to the business on the management of the risks which are overseen or controlled. This includes interpreting and complying with the relevant risk policy standards and risk management framework
- Provide senior executive with relevant management information and reports and escalate concerns where appropriate.
For more Details, please send you CV to s.hewett@hamlynwilliams.com or contact me directly on 0203 675 2930
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services.
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