VP, Compliance Testing, Buy Side
Salary £80,000 - £110,000 per annum
Consultant Megan Craighead
Date posted 19 February 2019 2019-02-192019-04-20 banking London London 70 Victoria Street GB SW1E 6SQ GBP 80000 110000 110000 YEAR Robert Walters https://www.robertwalters.co.uk
This is a senior compliance testing opportunity requiring strong buy side experience. Prior compliance testing experience is ideal, but can also look at those from an internal audit or conduct risk background. You will need to understand regulatory risk and have demonstrated experience in drivng and supporting change.
- Identifying and assessing compliance conduct-related risks to the business and assess how these risks can be tested
- Identifying and documenting the scope and testing approach for reviews in line with the CT methodology
- Conducting fieldwork in line with the agreed Testing Plan and ensuring that work conducted and findings from testing are adequately documented
- Producing reports that present review results, articulating the rationale for findings, the risks posed and actions required to address those risks
- Working with Business Line Compliance Officers and Management to agree on appropriate action plans
- Supervise, coach and develop more junior members of staff.
- Relevant experience in asset management and a thorough understanding of regulations and risks affecting the division and thorough understanding of Compliance risks and testing requirements
- Recent experience of delivering compliance testing / monitoring reviews in a complex corporate environment
- Excellent communication, presentation and report writing skills