Compliance Monitoring and Testing AVP - 12m FTC
In this role, you will be responsible for the compliance assurance and monitoring programme across the bank. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.
You will be expected to contribute to the overall compliance assurance and monitoring framework by:
- Applying experience as an SME to conduct risk based reviews and deep dives of the London banking business areas to provide assurance over compliance risk to key stakeholders
- Scoping reviews and developing test programmes for the banking business areas and assisting in the creation on the Annual Assurance Plan
- Performing electronic and audio communcications monitoring to identify and investigate market abuse and general compliance breaches by London based staff
- Managing and taking ownership of the remediation of compliance issues identified
- Regularly meeting with and engaging with key business stakeholders in order to indetify key risk areas and refresh the annual risk assessment on a periodic basis
- Undertaking visits to EMEA offices to provide assurance over compliance risk to key stakeholders
- Actively participating in current CA&T projects such as data analystics and e-comms framework implementation ion EMEA
- Providing support to the Global Head Office and EMEA testing programmes
- Working in collaboration with the Banking First Line Control Teams to support their assurance programme
- Providing MI for Management meetings and Head Office requests and being able to clearly understand and explain how an identified issue increases risk for Bank
- Performing ad-hoc investigations where required
- Coaching, supporting and training junior members of the team
- You will be expected to perform your responsibilities under the supervision of and reporting to a line manager. You will be expected to ensure that your line manager is fully aware at all times of your activities and to escalate any issues to the line manager or the Head of Department .