Our Risk & Compliance Recruiting team is partnering with a leading Global Bank and are leading a search for Compliance Assurance Officers covering Markets, Trading, Investment Banking and Advisory/Research. Seeking individuals with Market Sales and Trading Audit/Compliance Testing experience.
Overview:
These roles are 2nd line Compliance roles and will be responsible for assessing compliance risks and controls implemented by the first and second line of defense. You will be focused on testing and monitoring the design and effectiveness of key controls in place to address compliance risk; reporting and escalating control issues.
- Capital markets experience will be key as well markets securities experience and an understanding of how trades/sales work.
- Internal Audit experience covering front office will also be relevant. (auditing/testing products and business ops for a front office business - sales and trading/ broker dealer, capital markets investment banking etc.)
- Experience with testing, audit in markets, understanding of controls and regulatory reviews will be key.
Key Responsibilities:
- Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region.
- Serving as a lead reviewer for complex reviews, leading analysis of report findings, and communicating findings to corresponding control/process owners.
- Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
- Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Assurance Methodologies and Standards for auditing, testing, monitoring, and reporting.
- Developing effective relationships within CA function and with other stakeholders including Business process owners and Internal Audit function.
