Compliance Advisor - Monitoring & Testing
To carry out Compliance reviews and promote an effective Compliance culture and framework, minimising regulatory and operational risk
A European Corporate & Investment Bank.
Compliance Reviews - Testing and Assurance
- Assist with the development, implementation and execution of risk-based Compliance reviews to assess the effectiveness of the Bank's policies, procedures and controls
- Define test scope and design specific testing steps for each applicable area of review
- Communicate test results, present identified issues to the business, work with the business to develop and implement a plan of corrective action and prepare written reports
- Track status of corrective action plans
- Maintain detailed and organized documentation of work products
- Analyse regulatory expectations and developments, adjusting Compliance monitoring accordingly
- Attend industry forums and regulatory conferences
- Conduct ad-hoc investigations, projects , assignments, upon request
- Experience of Compliance reviews, or Audit work or similar investigations into risk/control functions
- Understanding of financial markets and products (in particular, Fixed Income, Commodities, Capital Markets and Financial Crime)
Competitive salary and package.
This job was originally posted as www.totaljobs.com/job/80961489