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Our client is seeking a dedicated professional for the role of Compliance Assurance, Monitoring and Testing. This role offers an exciting opportunity to contribute to a comprehensive risk-based assurance programme across banking and securities business activities in London and the EMEA region. This role requires collaboration with other Compliance Departments and engagement with all business and operational areas.
What you'll do:
As a Compliance Assurance, Monitoring and Testing professional, your role will be pivotal in delivering a risk-based programme of second line compliance for our client's EMEA region. You will be expected to lead technically complex reviews, develop test programmes, manage compliance issues, and engage regularly with key stakeholders. Your contribution to quarterly and annual risk assessments will be crucial. You will also work closely with off-shored teams, guiding them towards producing high-quality output. Additionally, you will play a significant role in coaching, supporting and training junior members of the team.
- Leading, managing and owning technically complex reviews of the London and EMEA business areas
- Scoping reviews and developing test programmes
- Tracking, managing and taking ownership of the remediation of compliance issues
- Regularly meeting with key business stakeholders to identify key risk areas
- Contributing to quarterly and annual risk assessments
- Working directly with off-shored teams to manage the quality of their output
- Guiding, managing and developing off-shored staff as allocated
- Coaching, supporting and training junior members of the team
What you bring:
The ideal candidate for this Compliance Assurance, Monitoring and Testing role brings a wealth of skills to the table. You are proficient in Microsoft Office applications, particularly Excel. Your relationship management skills are top-notch, enabling you to effectively interact with senior stakeholders. You excel at managing your time efficiently under tight deadlines while maintaining high-quality output. Your problem-solving abilities are complemented by your analytical acumen and reporting skills. You possess excellent presentation skills that allow you to communicate clearly both verbally and in writing. Lastly, you have a good understanding of Investment Banking and Markets risks and regulations.
- 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 under 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 both in person and in writing
- Good understanding of Investment Banking and Markets risks and regulations
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
