Compliance AVP / VP
Key responsibilities will include:
- Establish a new global function from scratch which will deliver an effective and efficient Compliance QA and Conformance Testing process
- Put in place a sophisticated QA and Conformance testing policy and training programme
- Promote and communicate the embedding of this function throughout the organisation and oversee the development and implementation of high quality policies and standards
- Ensure that proactive advice is delivered through effective partnership with others at all levels of Compliance
- Promote the cultural, behavioural and organisational changes necessary within the Compliance function and the business to achieve continuous improvement
- Initiate and sustain constructive relationships with stakeholders across all of Compliance.
- Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function
- Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program
- Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions
- Assisting with the continuous improvement of the QA and Conformance Testing Program from both an effectiveness and efficiency perspective
- Supporting the collection, compilation and communication of Compliance QA and Conformance Testing results
- Assisting in the coordination of global QA and Conformance Testing initiatives with relevant stakeholders, including the Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions
- Providing strategic support to the Head of the department
Liaising with functional heads within Risk and Control to ensure global consistency in the coverage model
- Bachelor's Degree
- 4+ years of experience in Legal, Compliance or Audit
- Previous experience in Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
Preferred Qualifications:
- Strong relevant technical expertise combined with relevant experience and understanding of the investment banking industry related to Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
- Experience in executing testing in a large and complex Investment Banking organization
- Good writing skills and be able to communicate effectively in the context of: formal written reports
distributed to Senior Management; documentation of test workpapers; and email correspondence
- Excellent business judgement and a willingness to exercise it
- Professional demeanour and possess considerable presence, impact and gravitas and will command respect within the organisation and with the regulators
- Be a proactive, energetic and resilient individual with a can-do approach
- Vision to be able to help build a new function from scratch that is fit for the current regulatory environment
- Be a self-starting and results-focused individual
- Excellent interpersonal skills, be an effective communicator and possess strength of character
Be pragmatic in their approach to problem
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