Compliance Testing AVP
The Asset Management division of one of the world’s most prestigious Banking groups, requires a Compliance Testing Manager (AVP Level) to join their team.
The Company:
The firm provides a full suite of investment products and services across all asset classes: Equity, Fixed Income, Cash Liquidity, FX, Real Estate, Infrastructure, Hedge Funds and Private Equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates.
The Compliance Testing Analyst position requires a person who is enthusiastic, confident and has practical experience in performing asset management monitoring activities, including data analysis and management reporting.
The successful candidate might have a background as an Auditor, Accountant, Quality Assurance Analyst or Regulatory Examiner with two/three year's asset management experience.
The successful candidate will report to the Investment Management EMEA Testing Team Manager.
Specific Responsibilities
· Research, plan and assist in performing detailed reviews, in accordance with the EMEA Testing program to assess compliance with applicable rules and regulations. These reviews should be undertaken in an accurate and timely manner.
· Be able to organise systems data and subsequently analyse it with the aim of drawing effective conclusions to support the testing work.
· Prepare clear and organised monitoring work papers to document and support work performed and conclusions reached.
· Prepare detailed and accurate reports of findings to include the agreement of practical and relevant recommendations for the business to address.
· Analyse and monitor testing data and compile management information relating to; reviews completed, issues identified, outstanding action plans and progress against plan.
· Where issues are not implemented in line with agreed timelines, escalate to the Team Manager or the Global Investment Management Head of Testing.
· Analyse and maintain Compliance Risk Assessment data as requested by the EMEA Testing Manager and the Global Investment Management Head of Testing.
· Work to enhance the visibility of the Testing team and establish key business relationships. Interact with all levels of business management and staff.
· Meet regularly with key business staff to remain informed of risks within the business and issues arising.
· Work with the Compliance Advisory teams/Subject Matter Experts to ensure up to date and comprehensive understanding of business areas.
· Use this knowledge to develop and execute the Testing programme.
· Work with the EMEA Testing Team Manager and the Global Investment Management Head of Testing to develop and update testing program and ensure that it remains fluid, risk-based / focused and up to date with both regulatory and business changes.
· Make suggestions to enhance testing procedures to the Team Manager and the Global Investment Management Head of Testing.
· Undertake ad-hoc projects at the request of the Global Investment Management Head of Testing.
Required Skills
· Pro-active, self-motivated and enthusiastic
· Able to work independently with good time management skills and pro-active attitude towards accomplishing tasks.
· Report writing/written communication skills.
· Verbal/questioning communication skills.
· Excellent skills in the use of Excel, Microsoft Word and PowerPoint
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