Senior Manager / Manager, Regulatory Compliance Audit

Responsibilities:

• This role has responsibility for Regulatory Compliance, Legal, Conduct and Culture
• Regulatory Compliance includes both retail and wholesale businesses; Legal includes all categories of legal risk including Data Privacy; Conduct includes both retail and market conduct; In respect of Culture, the role involves assisting the audit function in assessing the risk culture of the organisation including carrying out deep dive culture audits
• Prepares individual audit plans to ensure that the scope, approach, resourcing and logistics of an audit are appropriately planned
• Obtains, analyses and syntheses information for reporting on the adequacy of the internal control environment
• Based on audit fieldwork, drafts audit findings which articulate key issues and risks and propose root causes
• Reviews and submits audit reports or conclusions for each audit conducted or supported
• Identifies business process improvements for segments audited as appropriate
• Ensure that the results of the work performed by the team meets the expectations of audit and business management and the regulators
• Maintain consistent interaction with business management
• Liaise with external auditors

Requirements:

• ​Past working experience in a relevant regulatory compliance role, for example in a first line such as business or function, second line such as Regulatory Compliance, third line such as Internal Audit, as a regulator or external audit with exposure to regulatory compliance
• Role relevant qualifications for example Accountancy, Audit or Compliance qualifications are desirable but not essential
• A track record of gaining an understanding of customers' needs and delivering excellent customer service
• Consistently achieved objectives set for them and taken action to improve their own performance
• Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
• Contributed productively to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals
• Planned projects and activities systematically in line with business priorities, using a variety of analysis and problem solving techniques
• Proven experience of successful project management, utilising relevant tools and techniques to ensure consistent delivery

Candidate with less relevant experience or skills may be offered a lower level than stated above.