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This role will require someone to work autonomously and support more senior members of the team undertaking reviews across the Markets business (front office) and test controls from a Compliance risk perspective. They are ideally seeking someone with Markets Audit or Compliance reviews experience.
Identify the scope and testing approach for reviews
Conduct fieldwork in line with the agreed test programme and adequately document tests and findings
Develop recommendations for corrective action based on review findings
Write reports that present review results, articulate the rationale for findings, the risks posed and actions required to address those risks
Develop good working relationships with key stakeholders
Continue to educate the business on role of Compliance Monitoring and Testing team
Experience in Audit or Compliance Monitoring within Investment Banking/ Financial services
A thorough understanding of regulations and risks affecting the division
Recent experience of delivering compliance monitoring / internal audit reviews in a complex corporate environment
The ability to understand and interpret various laws, regulations, and policies
Strong investigative and analytical skills - enquiry, analysis, interviewing, testing
The ability to work independently and as part of a wider team with minimum direction
If you would be interested in this Compliance Monitoring and Testing opportunity, please contact Joe Johnston on email@example.com or 0207 509 8489.