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Skills
Analysis Skillsunmatched
Auditingunmatched
Business Administrationunmatched
Corporate Complianceunmatched
Corrective Actionunmatched
Identify Issuesunmatched
Maintain Complianceunmatched
Microsoft Excelunmatched
Microsoft Officeunmatched
Microsoft PowerPointunmatched
Microsoft SharePointunmatched
Microsoft Wordunmatched
Negotiation Skillsunmatched
Operations Planningunmatched
Presentation/Verbal Skillsunmatched
Project Planningunmatched
Regulationsunmatched
Regulatory Complianceunmatched
Riskunmatched
Risk Managementunmatched
Stock Marketunmatched
Technology Analysisunmatched
Test Plan/Scheduleunmatched
Testingunmatched
Time Managementunmatched
Writing Skillsunmatched
Description
What you will be doing:
Assist the Director of Monitoring in Testing with reporting related to the Compliance Testing Plan and its results
Work independently with Director oversight to conduct and deliver Compliance Testing reviews on the plan in a timely manner and with an appropriate standard of quality
Assist the team in tracking and validating corrective action plans
Work across departments to develop a monitoring inventory and monitoring standards, identifying gaps and creating project plans where needed
Apply practical, proportionate and sustainable remediation to compliance risk and conduct issues identified in the course of monitoring and testing.
Assess optimal technology solutions for conducting testing reviews, creating the monitoring inventory, and implementing monitoring standards.
What we're looking for:
Proficient in writing clear, concise testing reports.
Understanding of industry practices and disciplines ideally having implemented and/or developed second line compliance monitoring and testing frameworks in the past.
Excellent written and verbal communication and stakeholder management skills at all levels of the organization.
Proficient engagement, influencing and negotiating skills.
Proficient in investigative and analytical thinking.
Ability to convert high level strategy and goals into operational plans.
Strong control and risk management mindset
Professional qualifications / certifications
Minimum bachelor's degree. Postgraduate degree (e.g., JD, MBA) or compliance / testing / audit certifications a plus.
5-7 years experience of compliance testing / monitoring / auditing / risk management. Regulatory experience a plus.
Advanced proficiency in Microsoft Office (i.e., Word, Excel, PowerPoint) and SharePoint required. Familiarity with Governance, Risk & Compliance (GRC) tools (e.g., Archer) a plus
Knowledge of a financial market utility or FMU regulatory environment, key legislative requirements and practical implications would be beneficial.
Experience interfacing with regulators would be beneficial.
Experience in executing annual monitoring and testing plans.
Familiarity with corporate compliance programs and standards relative to Client SR 08-8 would be beneficial.