Compliance Monitoring and Testing AV - 12m FTC

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

Direct Reports:

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 .