Perform assurance reviews and periodic reporting, analysis of communication, trading activity, financial crime and any assigned compliance controls testing areas to ensure compliance with relevant policies and procedures;
Inspect key compliance risk indicators in respect to financial promotion, complaints, order executions, and telephone recording arrangements;
Identify and review potential key conduct risk issues and document the resolution/course of action;
Work with Management team in supporting the AML, Communications and Trade Surveillance programs by reviewing alerts, risk indicators designed to detect potential control deficiency or misconduct;
Continuously monitor process, control adequacy, technology stability and escalate issues and risks accordingly;
Inspect communications (voice and electronic) to identify misconduct and potential misuse of information;
Maintain detailed findings and identify patterns for escalation of significant compliance issues and violations via incident recording;
1-3 years of experience in internal or external audit/compliance/risk management/control testing experience, quality control /assurance/
Experience in assessing risk, reviewing risk ratings, identifying controls gaps and determining the appropriate evaluation methodology.
Understanding of AML/CTF, financial crimes and its regulatory framework
Previous audit experience in a Big 4 or other top tier accounting firm an advantage
Demonstrate strong analytical regulatory research skills
