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Senior Consultant,Consultant , Compliance Testing , Financial Services

  • 8-16 yrs
  • Not Disclosed

Job Description

Exp: 8 , 16 Years The role holder will be required to perform assessment of effectiveness of assigned financial crime and,or regulatory compliance controls, identifying and raising issues where control gaps lead to material unaddressed financial crime and,or regulatory,conduct risks. At a high level, the role holder will be responsible for the following:, Map processes of assigned controls and identify the main control components within that end,to,end process., Document distinct control types, covering key aspects, such as remit, main processes and handovers to other teams. , Evaluate assigned controls for operating effectiveness, document results and raise issues as appropriate. , Assist the team leads in the delivery of assigned control assessments and ensure that assigned control assessments are accurate, effective, abide by procedures and templates, and meet quality control requirements., Ensure that assigned control assessments are delivered on time, in accordance with the assessment plan. , Evaluate the root cause analysis for all material issues and remediation plans in places to ensure that they are sufficient and fit,for,purpose., Perform issue closure validation to ensure risks are sustainably remediated , Support the team leads as required, including creating customised testing methodology and testing templates., Effectively communicate with local stakeholders during the process of review work. Knowledge and Experience, Minimum of 2,3 years proven experience in financial services compliance, testing, audit and,or legal management experience or equivalent., Working knowledge of financial crime and,or regulatory compliance and,or the aptitude to develop this understanding in good time, and knowledge of relevant regional laws, regulations and the overall regulatory environment preferred., Minimum Bachelor's degree in related field such as business, finance, law or equivalent experience., Proven ability to multi,task and working independently under pressure to tight deadlines in a challenging and fluid environment., Experience of process mapping and delivering professional reports and presentations gained within a financial services organisation or audit,consulting practice. , Awareness of good risk management and governance frameworks including 3 lines of defence criteria , Understanding of the activities of relevant business lines and associated compliance risks., Strong interpersonal skills with the ability to communicate effectively., Ability to foster relationships whilst providing adequate challenge and effecting change., Experience utilising assurance automation and analytics tools preferred., Fluent in both oral and written English., Proficient with Microsoft Office.