We are now looking for a senior Compliance Review Officer VP level. The successful candidate will conduct compliance reviews (testing) typically of First Line controls, according to an agreed methodology and be aligned to the wider MST approach of the function.
Conduct a planned number of desk reviews across front office controls per the testing plan
The reviews will be based on a prior risk assessment and be driven by the output of that assessment; or by trigger events or mandatory requirements
Engage with the Front Office and Coverage Compliance as necessary and ensure that relationship management is a key part of the role
Ensure that the reviews are conducted according to the testing methodology
Conduct prior communication of the reviews to the relevant stakeholders as well as ensure that the final distribution of reviews is conducted appropriately and in a timely manner
Agree any action items during the review with the relevant stakeholders
Produce MI for consumption by senior Front Office supervisors and other stakeholders including issue tracking MI
Take part in all relevant supervisory meetings and activities and be an integral part of the surveillance management team
Align all testing work with the wider MST objectives.
The successful candidate will:
Have positive and constructive testing approach
Use analytics to inform testing areas
Ensure outcomes feedback appropriately into the risk assessment
Engage with peer firms and understand industry approaches/solutions to common problems