Internal Controls Specialist
A fantastic new opportunity has been created for an experienced Internal Controls specialist with one of our major financial services clients.
This is a newly created opportunity that will have a pivotal role in the smooth running and the development of compliant business looking at policies and external regulation to aid risk mitigation. With a dual reporting line to a Director and the Senior Internal Controls Specilaist, this role will:
*Provide guidance to business management to support compliance to help reduce and/or prevent financial and reputational damage to the business and the company.
*Act as liaison between the business and Compliance, Legal, Audit, Risk and other business partners as appropriate to identify risk and control concerns
*Present recommendations and monitor the remediation of control, risk and compliance issues.
*Participate in projects and ongoing monitoring of CASS compliance
*Analyzing existing business practices and policies and procedures to identify where process improvements and enhancements to existing procedures can be made;
*Oversee the performance by other team members on control testing
*Identify weaknesses and work with the business management to establish remediation plans
*Coordinate the creation of policy and procedures
*Coordinate and arrange appropriate processes and support colleagues with the implementation of compliance risk monitoring procedures and reviews
*Monitor the business compliance with AML and KYC requirements and implementation of remediation action plans
*The successful candidate may be assigned global responsibilities for specific risk or compliance projects globally and may assist more junior staff locally or in other regions in daily work handling as a business matter expert.
Candidates should be able to demonstrate the following attributes:
-Bachelor's degree required with Graduate/Master's degree preferred and relevant work experience in financial services areas of Audit, Compliance, or operational /client services experience in Custody or Broker Dealer Clearance desirable.
-Knowledge required of Financial Services rules and regulations.
-Excellent problem solving, analytical ability and oral and written communication skills with prior project management skills a plus.
-The ability to handle stressful situations with internal clients while maintaining a professional approach to problem solving is required, as well as the ability to effectively deal with senior management.
-Strong interpersonal skills needed to influence and impact business decisions without direct authority.
-Excellent analytical, administrative and computer skills required.
On offer is an excellent role that will involve considerable exposure to different areas of the business and to colleagues in a variety of teams/ The role will provide exposure to policy, procedure and monitoring development activity that is critical to managing the business' financial and reputational risk.
If this is of interest and you have a background in financial services or banking (ideally a custody or broker dealer environment) compliance, risk or audit and have contributed to developing procedures, enhancing systems and control frameworks and are looking for a new challenge please apply as soon as possible.
Randstad Financial Professional encourage applications from individuals of all ages backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial Professional acts as an employment agency for permanent recruitment an employment business for temporary recruitment as defined by the Conduct of Employment Agencies Employment Business Regulations 2003 
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