Compliance Testing
Our client is a leading financial services firm looking for a Compliance Professional to join the Compliance Testing Group (CTG) within the firms Compliance division.
The Compliance Testing Group's principle objective is to create and execute detailed testing work programs to assess compliance with regulations and firm policies. This role will work closely with compliance and business management in London and gain an excellent understanding of both the firm's businesses and the rules and regulations under which the firm operates.
Role Responsibilities:
* Conducting tests covering the various business functions primarily in London and the regional offices in the rest of EMEA.
* The candidate will be at an associate /vice president level and report through the manager located in London to the Head of CTG.
* Interacting with compliance and business senior management.
* Conducting tests covering the various business functions primarily in London and the regional offices in the rest of EMEA.
* Conduct research, data gathering, analysis and prepare reports.
* Identify and effectively escalate potential issues to the appropriate individuals Principal Responsibilities.
* Together with the reporting manager located in CTG London and under the guidance of the Head of CTG, design work programs and then execute test steps within assigned budgets, and meet tight deadlines to evaluate compliance with rules and regulations.
* Document work performed findings, conclusions and corrective actions required in organized work papers.
* Communicate with business management on findings and obtaining consensus on corrective actions required.
Personal Qualifications:
* Bachelor's degree required.
* Previous auditing experience or other investigative work in the financial services industry (Recognized audit certification such as ACA, CISA or CPA preferred).
* Experience in a recognized Accounting / Auditing firm, will be advantageous.
* Product knowledge of financial instruments.
* Background or good knowledge of compliance rules and regulations.
* Understanding of accounting.
* Excellent knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful.
* Must be very strong in person, excellent communicator and strong relationship builder.
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