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.
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The Custom Group of Companies