Compliance Assurance Testing Manager

Responsibilities

• Conducting independent, second line, compliance Assurance testing reviews to ensure that the firm is compliant with all applicable regulations, policies, and procedures.
• Identifying, analysing and understanding how risk can occur in our business and designing testing approach’s that will identify potential weaknesses in the firms control environment.
• Executing both design and operational testing across all areas of applicable risk.
• Manage and validate issues resulting from Compliance Assurance testing.
• Participate in the development of the Compliance Assurance process, including use of AI in supporting the testing approach.
• Assisting in the development and implementation of compliance policies and procedures.
• Conducting investigations and reviews of compliance issues, and issues and making recommendationsfor corrective action.
• Creating reports that detail Compliance Assurance plan progress and identified findings to update management.
• Maintaining accurate records and files of all Compliance Assurance and Monitoring testing work.
• Both lead compliance projects and thematic reviews and support the existing team with co-ordinating ongoing assignments.

Requirements

• 2-5 years of experience within the financial services industry ideally in second line Compliance Assurance and testing, Audit and/or Controls Testing functions.
• Understanding of assurance/audit testing principles across Design and Operational testing of controls
• Knowledge of ``global regulatory framework, particularly in relation to UK, European and CySEC regulations.
• Excellent analytical skills and attention to detail.
• Strong written and verbal communication skills.
• Ability to work independently and as part of a team.
• Strong organisational and time management skills.
• A Bachelor's degree in a relevant field such as law, finance, business or accounting, is preferred but not essential.