Introduction
The Compliance Assurance AM will be responsible for undertaking assurance reviews, and where required ICVs, to assess and report on Compliance and/or Reputational Risk, behaviours and attitudes. The outputs of the Compliance Assurance Team will help ensure that Compliance and/or Reputational risk is being appropriately managed across all of the entities and identify where additional action may be required.
The role holder will be required to work across a variety of risk and business coverage areas being led by and working with CA colleagues in any of our global locations.
Role and Responsibilities
- Taking a proactive approach to identify and agree review coverage and develop the scope of reviews.
- Ensuring adherence to the Compliance Assurance methodology in the execution of reviews (throughout planning, testing, and reporting) and monitoring/validation.
- Designing, supporting and delivering reviews that provide solid insight and value by identifying risks and issues, or examples of good practice.
- Being proactive in managing your review to meet the planned timescale, resolving or escalating issues and blockers that materially impact the progress of reviews.
- Utilizing effective Stakeholder Management and Leadership, this will include formal stakeholder engagement and management at all levels of the business.
- Keeping up to date on business developments, regulatory change, internal policies and Compliance objectives to ensure Compliance Assurance work remains relevant and timely.
- Aiding continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities.
- Building, developing and maintaining respected relationships between Compliance Assurance and Business Oversight Compliance and Key Stakeholder.
Required Skill:
- Experience of working in an Assurance/Audit/Risk Management role with the ability to display a working knowledge of risk and frameworks, assurance methodologies and testing techniques.
- Strong investigative skills with the capability to identify key risks and areas of non-conformance with regulatory and legislative requirements and lack of controls, identify root cases, themes and trends.
- Strong analytical skills/mind with ability to deliver high quality work in a timely and structured manner.
- Strong Report Writing skills.
- Working knowledge or prior experience of working with an Automated Assurance/Data Analytics team to increase the use of data driven testing and data analytics within reviews.
- Skills that will help you in the role:
- Understanding of the regional regulatory environment and the key Laws, Rules and Regulation impacting the region.
- Own and drive personal learning and development to support achievement of career aspirations.
- Audit qualification preferable.
- Bachelor's degree preferable.
