EMEA Head of Compliance Monitoring & Testing recruitment
One of the worlds leading Financial Service Institutions who offer a range of Investment services are currently looking for an EMEA Head of Compliance Monitoring and Testing. They have a global presence through all of their businesses and are continually leading the way in product innovation and development. This group level position provides direct exposure to senior management and oversight of Risk and Control teams throughout the businesses.
Your main responsibilities will be:
• Managing a team and execute the plan within the required timeframes.
• Conducting reviews producing detailed reports ensuring all findings are clearly documented with supporting evidence.
• Liaising with business areas and control owners to ensure controls are adequately documented and reflected in the reviews conducted.
• Liaising with Controls and Testing team management and other Controls and Testing team colleagues to ensure that a consistent approach where possible is adopted.
• Ensuring issues and findings are communicated to control owners and business aligned Compliance team members.
• Providing appropriate reporting on items such as open action items and testing deferrals.
• Providing support to the EMEA Compliance Management Team where required.
• Assisting the team in responding to ad hoc queries/requests.
• Proactively providing feedback/ideas on procedures/controls/process to management in order that streamlining can occur or improvements to processes can be made.
• Assisting in the training of other Controls and Testing team members and the business aligned compliance team
• Liaising with internal/external auditors and regulators where required.
• Providing Key Performance Indicators to the business aligned compliance team on the execution of the Controls and Testing plan.
Ideally you will have experience of conducting risk assessments, as well as a working knowledge of designing control operating effectiveness testing. As well as directly leading a team, this role provides oversight of the Compliance Monitoring and Testing functions for all the businesses in the group, operating across multiple jurisdictions. This is an excellent opportunity to join a market leader within innovative product classes whose focus is solely toward continual growth. Reporting directly into the EMEA Head of Compliance, this position presents the platform to be the key driver of transformation and change throughout the firm.
To discuss this and other opportunities within Asset Management or Investment Banking, please contact Khurram Somra on 02031453368 or at Khurram.somra@bruinfinancial.com.