Governance, Compliance & Controls Consultant

Robert Walters are supporting a leading Financial Services business in the recruitment of two Compliance, Governance & Controls specialists. One a junior position and the other a senior role. The position offers hybrid working, 1-2 days in the office and the rest remote working.

The particular incumbent will have responsibilities covering Third Party Governance (TPG) and is expected to perform the following duties:

• Understand and assist in achieving unit service objectives and key performance indicators (KPIs)
• Promote and support a culture of compliance, risk avoidance/mitigation and corporate accountability throughout the organisation
• Assist in the development of tools, training, policies, and procedures
• Provide analytical support to the management team regarding metrics, reporting and special projects. Work with counterparts across all business lines to ensure policy/procedure and control standardisation
• May work with service providers to ensure proper controls are in place
• Governance and Compliance specific responsibilities: Work with auditors and technical subject matter experts to satisfy internal and external audit requirements and SOX compliance
• Identify and implement opportunities for automation or efficiency's to improve governance/audit controls within TPG
• Analyse existing controls to determine which are obsolete or out-of-date. Serve as a subject matter expert for governance and compliance frameworks and regulations within TPG
• Risk specific responsibilities: Work with technical subject matter experts to identify, mitigate and manage risk
• Review work flows, hand-offs, process steps and existing policies and procedures; analyse areas for improvement and provide recommendations
• Identify and monitor non-compliance and escalate when appropriate

If you think the role is of interest please apply directly or send your CV to kathryn.parkinson@robertwalters.com