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We have been exclusively retained to recruit for a Compliance Assurance role with an international financial services provider. Join a world-leading, international financial services provider with a reputation for excellence. Operating across multiple jurisdictions, the firm values results, fosters relationships, and celebrates its achievements. If you are a collaborative professional looking for a dynamic environment, consider this opportunity to join their compliance team
Responsibilities:
Management Oversight
- Act as the senior Compliance lead, advising the first line on control effectiveness and regulatory requirements.
- Support regulatory responses, issue management, and assurance resolutions.
- Represent Compliance in local meetings, ensuring strategic updates reach relevant jurisdictions.
- Directly manage the CVT team, fostering a cohesive team culture.
Compliance Validation Testing & Issue Management
- Oversee issue resolution from internal/external reviews, collaborating across all defence lines.
- Lead CVT activities per the approved plan, ensuring timely issue tracking and resolution.
- Align issue management with Risk and Control Self-Assessment (RCSA) programs.
- Enhance testing processes to target actual organisational risks.
- Monitor testing outcomes to identify trends and communicate insights to management.
Compliance Advisory
- Develop frameworks to address control process issues, supporting program management.
- Coordinate with jurisdictional teams on complex cases and escalations.
- Design reporting metrics to track and highlight program progress for management review.
Skills & Qualifications
- 7+ years in financial auditing, compliance assurance, or SOX testing.
- University degree required; a recognised Compliance/Risk designation (e.g., ACAMS) is desirable.
- Strong written, problem-solving, and regulatory knowledge in a banking context.
- Experience in risk assessments, process mapping, and high ethical standards for confidentiality.
