* COMPLIANCE RISK & CONTROL AUDITOR recruitment
The successful candidate will support the management of the regulatory risk exposure within the Company in accordance with FSA, SEC and other international regulations. Compliance audit experience is essential for this role.
Core Responsibilities:
- Effectively plan full audits and functional themed reviews, including defining the scope of work and formulating appropriate solutions for delivering the agreed level of assurance to the Company. This will require a detailed understanding of regulatory risk control in relation to the area being assessed. It will also require liaison in the Company and the negotiation of appropriate timings and service standard details.
- Perform a variety of audits in dynamic and regulatory technically complex environment, evaluating established regulatory risk controls and identifying the potential impact of regulatory risk control weaknesses in the Company. To perform investigation in cases where special investigation is required.
- Successfully present often regulatory technically complex or potentially sensitive issues to management within agreed service levels. Working in the Company, formulate effective and business orientated solution to identified regulatory risk control weaknesses and negotiate and agree appropriate action plans to implement these solutions.
- Provide the Company with appropriate training/advice/coaching etc. with the aim of maximising the effectiveness and efficiency of regulatory risk control.
- To disseminate control best practice and promote regulatory risk awareness throughout the Company and facilitate Risk Profiles workshops with line managers.
- On an on-going basis to keep abreast of, and understand the direct impact on the diverse regulatory risk and control environment of the Company, all regulatory requirements and developments. This includes ensuring competent understanding of distribution compliance aspects i.e. best advice matrices, training and competence interface with sales process.
- Assist Risk Control Manager in analysing Risk management system outputs, ensuring all significant regulatory/operational risks/control failures are included as dynamic criteria within the risk-based Compliance Monitoring Programme.
- Proactively contribute to the positive compliance culture within the Company thereby minimising the risk of any adverse comments from the regulators on an ongoing basis and/or regulatory visits.
- Record all agreed action points from reviews to ensure management information supplied to Business Performance Groups, Company Directorate and Audit, Risk and Compliance Committee is complete accurate and current.
- Liaise with line management, up to Director level, to ensure the successful implementation of agreed actions within timescales and, where required, negotiate revised delivery dates or risk priorities.
Core Skills:
- Analytical.
- Logical.
- Excellent communication skills.
- Team player.
- Ability to take ownership of own work.
Core Requirements:
- Graduate / HND.
- Professional Audit Qualification.
- Investment Management Certificate.
- Knowledge of FSA, SEC and other relevant international regulations.
Core-Asset Consulting offer specialist recruitment services to the Investment Banking, Financial Services, Secretarial Support, and Human Resources markets across Scotland.
"People are the core asset of every business"
March 3, 2012
• Tags: * COMPLIANCE RISK & CONTROL AUDITOR recruitment, Accounting & Finance careers in the UK • Posted in: Financial