Compliance Testing Analyst/Associate
A Global Tier 1 Bank, based in the City of London, is actively recruiting for a Compliance Testing Analyst to undertake detailed reviews of their compliance framework in accordance with group compliance policy. Applicants with backgrounds in Internal External Audit, Compliance Monitoring or Operational Risk would be welcomed.
The Client:
A leading Global Financial Services firm that provides international investment banking, securities and investment management to a highly diversified client base across New York, Hong Kong and Tokyo. The firm has a strong compliance culture and the Testing team sits centrally, ensuring all compliance programs are robust.
Operating across all areas of the business, the Compliance Testing Group will focus special attention on reviewing existing procedures and working towards a better system of compliance.
The Role:
As an individual member of the Compliance Testing Group in London, you will be responsible for conducting tests on various areas of the business and be an integral part of the compliance process. The main responsibilities will include:
• Leverage strong communication skills to interact with senior heads of business and compliance
• Conduct research, gather data and analyse reports
• Design work programs and execute test steps within a budget, meeting deadlines to evaluate compliance with rules and regulations
• Working on several projects at any one time with different individuals
• Communicate with senior management on findings and offer solutions to the incorrect procedures
The Candidate:
The successful candidate will have a passion for technical compliance and be interested in conducting wide-scale investigative reviews. Candidates should be experienced in either compliance monitoring or internal audit across compliance and regulation. Ideally Internal auditors will have worked at Big Four or an Investment bank and have the relevant qualifications i.e ACCA
• A Bachelors Degree is imperative and they will preferably have a recognized certification in Auditing such as ACA, CISA or CPA
• They will be a highly motivated, intellectually curious individual with outstanding time-management, analytical and communication skills
• A strong working knowledge of Microsoft Word and Excel is a must and an understanding of rules and regulations is highly advantageous
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