Senior Compliance Auditor – Director recruitment
Within this position, your key role will be to lead and execute special reviews and manage the auditors conducting functional reviews. You will have the opportunity to work with personnel at all levels and learn about the various aspects of the business.
Specific responsibilities include:
- Planning, executing and reporting on special reviews assigned by the Chief Compliance Officer;
- Managing the planning, execution and reporting for functional audits;
- Updating the compliance audit procedures related to special reviews and functional audits;
- Performing an annual quality assurance review of group and office audits;
- Assisting with the annual assessment process to identify enhancements to procedures, processes and audits;
- Drafting senior management reports based on special reviews and functional audits; and
- Assisting on group and office audits where needed.
- Planning and leading compliance audits of the various groups and offices within the busines;
- Reviewing files including committee documents, analytical models, and published commentary to verify compliance with policies and procedures;
- Reviewing the analytical group's internal controls and following up on management actions to address recommendations from prior audits; and
• Preparing and presenting conclusions and recommendations to various levels of management and securing commitment to address observations.
This role requires excellent analytical, communication and project management skills with focus on the big picture. Other requirements include:
- Educated to degree level with a significant number of years auditing experience.
- Experienced compliance or internal auditor, compliance monitoring professional or regulatory examiner with an in-depth working knowledge of financial securities and products.
- Prior experience leading audits and building out audit programs.
- Excellent presentation and written communication skills.
- Strong organizational skills, attention to detail and high level of accuracy.
- Independent initiative and critical thinking skills.
- Excellent project management skills, with the ability to manage multiple audits simultaneously and complete audits / projects within timelines.
- Ability to utilize or identify technology to enhance existing processes.
January 8, 2012
• Tags: Accounting & Finance careers in the UK, Director recruitment, Senior Compliance Auditor • Posted in: Financial