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Establish an enterprise-wide compliance monitoring, assurance and testing strategy
Develop, implement, and maintain an enterprise-wide compliance monitoring, assurance and testing program, as well as supporting policies and procedures
Oversee the execution of the compliance monitoring program in all Units, reviewing results and providing guidance to the Compliance Heads on Group standards and best practice
Oversee the monitoring and resolution of compliance issues, ensuring they are tracked and reported at the appropriate level of seniority based on risk rating
Develop and manage the annual Group compliance testing plan based on the Group compliance risk assessment
Prepare Group compliance testing reports and present findings and recommendations to Group Compliance Officer and Senior Management
Monitor regulatory activities and industry developments to identify trends and emerging issues. Revise the monitoring and testing program as appropriate
Maintain an understanding of business operations
Assist with ad-hoc compliance projects
Work collaboratively with Operational Risk and Internal Audit to inform the compliance testing plan
Lead or assist in investigating compliance issues such as regulatory or policy breaches, as needed
Perform tactical ad hoc reviews based on identified key risks
Perform other duties as assigned by management
8-10 + years experience in managing a compliance monitoring, assurance and testing program.
Strong computer skills including knowledge of risk management systems.
Education / Certifications
Minimum Bachelor degree
10+ years of experience in the financial services industry with a focus on monitoring and testing. Preferably with a strong background in operational risk and/or internal audit. Experience in overseeing projects across multiple jurisdictions.
Self-motivated, and pro-active team player. Strong written and verbal communication skills with an ability to foster a collaborative working relationship with multiple functional areas. Excellent analytical, technical and problem solving skills with a strong attention to detail. High ethical standards.