Compliance Assurance

The Compliance Assurance Officer / AVP 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 legal 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.

What will you be doing

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.

The successful candidate will be expect to closely mirror the time zone of the global team with which they align.

What we're looking for:

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.