Avp - Reviewer, Compliance Assurance & Testing - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

You will be expected to contribute to the overall compliance assurance and testing framework by:

Conducting risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders
Scoping reviews and developing test programmes Tracking, managing and taking ownership of the remediation of compliance issues by working with relevant business stakeholders
Regularly meeting with and engaging with key business stakeholders in order to identify key risk areas
Contributing to the quarterly and annual risk assessments
Providing support to both the Bank and Securities Head Offices
Working in collaboration with the First Line to support their assurance programme
Providing regular MI for management and Head Office
Performing adhoc investigations where required Performing electronic and audio communications monitoring to identify and investigate compliance and/or conduct breaches by staff where required
Contributing to CA&T projects as directed Assisting in the creation and delivery of the department's Assurance Plan by identifying key areas of focus for reviews,
Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.
Actively participating in current CA&T projects such as data analytics, compliance framework

Desired skills include:

Excellent Microsoft Office (including Excel) skills
Strong relationship management skills, including with senior stakeholders Effective time management skills, with the ability to produce high quality output and meet tight deadlines
Problem solving, analysis and reporting skills Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutions
Excellent presentation and interpersonal skills ability to communicate clearly and concisely both in person and in writing to articulate how an identified issue increases risk for the firm
Good understanding of Investment Banking and Markets risks and regulations
Ability to scope reviews, create test scripts and review the work of others
Strong compliance testing experience required
Broad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.