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We are AMS. We are a global total workforce solutions firm; we enable organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) is one of our service offerings; we act as an extension of our clients' recruitment team and provide professional interim and temporary resources.
Our investment banking client has been present in the UK for more than 150 years, they're a long-term partner to British business. Today, the Group is formed of 10 divisions and employs 9,300 staff based in 21 core locations right across the country. Their role is simply stated: help clients achieve their goals by combining local know-how and global reach. In so doing, they seek to make a positive, sustainable contribution to both the UK economy and society.
On behalf of this organisation, AMS is looking for a Compliance Audit Officer - Controls and Testing for a 12-month contract, based hybrid in London.
Purpose of the Role:
You will be responsible for carrying out assigned Independent Testing and controls across CIB business lines throughout Europe, ensuring that high-quality, impactful Independent Testing reviews and deliverables are finalised within the allocated timelines. Additionally, you will seek opportunities to continuously improve the Independent Testing and Compliance Reviews methodology and engage proactively and effectively with key stakeholders.
As a Compliance Audit Officer - Controls and Testing, you will be responsible for:
- Contributing to the planning of independent testing and control execution, using the Risk Control Self-Assessment ('RCSA'), incidents and other available information.
- Taking ownership of allocated sections of the testing plan and audits.
- Performing testing and controls independently or with limited guidance.
- Challenging the 1 LoD control framework including control applicability, design, methodology (for sampling v and rating) as well as other factors to ensure that the compliance risk articulated in the key objectives of the Generic Control library (GCL) or the Central Control Library (CCL) is appropriately mitigated.
- Delivering Independent Testing and Controls within the deadlines set to the expected standards and leaving sufficient time for manager review prior to reporting deadlines.
- Maintaining an audit trail for all work carried out during the control testing, reporting and Action Plan stages.
- Leading the execution of controls performed by other team members based in the UK and other regions.
- Sharing and discussing control results with Compliance and Business stakeholders and proactively manage challenge.
What we require from the candidate:
- Experience in Audits, working independently.
- Good understanding of global markets, global banking, securities services and or treasury products.
- Experience in an investment bank or asset management desirable.
- Ability to display strong methodology.
- Good working knowledge of the UK regulatory frameworks such as Mifid, MAR, FCA, Benchmarking and more.
- Detailed knowledge of specific Compliance principles and processes in control testing applicability, testing programmes, controls results and reporting.
Next steps
If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and we will contact you with an update in due course. This client will only accept workers operating via an Umbrella or PAYE engagement model.AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business.
