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We are currently looking for an IT Auditor with strong background in Financial Crime Compliance to join our Systems Assurance team.
Assurance fieldwork may require international travel for extended periods of time. Strategy
As a member of the Assurance Systems team, the Associate Director, FCC, Assurance Systems, is responsible for the planning, execution, evaluation, reporting and advancement of Assurance Systems reviews that they are involved in (the "Review") and periodic testing of key compliance controls, processes, procedures and system controls to demonstrate that systems and data processes are in compliance with Group and local requirements addressing the relevant regulations, including those related to money laundering, terrorist financing, sanctions and anti-corruption and bribery.
The Associate Director, Assurance Systems is expected to support maintain a sound, prudent and effective regime for the review, testing, tracking and reporting of compliance, risk management, governance and regulatory issues specific to compliance, money laundering, terrorist financing, embargo & sanctions, exposure to politically exposed persons, corruption and bribery.
Provide assurance over the governance and implementation oversight of Compliance and FCC related systems, in line with the Group policies and procedures.
Assist the Head of Compliance Assurance Systems in relation to all Assurance activities, including the planning, coordination, execution, evaluation, drafting of and issuing of assurance review reports;
Assist with the delivery of the overall Compliance and FCC assurance plan where systems and data are involved.
Support and undertake specalist second line of defence systems reviews on a timely and efficient basis to test the validity and appropriateness of, and business compliance with, regulatory and financial crime policies.
As required, refine the testing scope and sampling approach for an individual review, including a formal documented assessment, to ensure that the review tests areas of elevated risk meeting the standards set out in the Assurance Methodology in effect at the time.
Execute individual review planning activities, including soclisation of the scope and purpose of review and required engagement to ensure that the relevant resources within the review areas are avaiable to support testing.
Execute the fieldwork of the required reviews, including sampling approach, in accordance with the methodology, ensuring that all test results and sampling rationale are fully documented in order to support review conclusions.
Retain records of all work completed to the required standard to satisfy internal expectations and external regulatory requirements.
Where necessary undertake data analytic work to determine systems effectiveness in line with defined criteria in line with relevant policies.
Determine the root causes of issues and draft findings and report, including ratings in accordance with the Assurance Methodology, and discuss report, findings and action plans with stakeholders to ensure factual accuracy of the findings and agreement of the action plans.
Ensure that review artefacts are subject to the required QA and that the report is signed off in accordance with delegated authorities.
Track progress and resolution of findings, including performance of validation of closure as required.
Provide timely and accurate information on plan, progress of reviews and finding closures to provide robust and accurate MI as directed.
Identify and escalate as required areas of material concern to the Head of Compliance Systems Assurance, Global Head or other Governance bodies as necessary.
Drive forward excellence in execution of the Assurance Review plan and supporting activities, identifiying opportunities to enhance the programme where possible.
Ensure the suitability and quality of case data maintained on enterprise case management systems.
Understand technical aspects of systems relevant to Compliance and FCC systems.
Developing capability to provide assurance over Compliance and FCC systems, and data.
Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from investigations.
Tracking of findings and actions from reviews through verification and closure, ensuring that where appropriate these are escalated in an appropriate and timely fashion including informing senior management of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased
Qualifications & Experience
Background in Technology Assurance or Audit with a focus on Applications Controls within international financial service organizations (5 years minimum);
Knowledge of database systems, and experience in data extraction for data analytics;
Knowledge and experience in Compliance and Financial Crime Compliance;
Relevant professional IT Audit/ Audit certification (CIA, CISA, CISM, CISSP or equivalent)
Certified Anti Money Laundering Specialist ("CAMS") or International Compliance Association Diploma ("ICA Dip AML") Certification (Preferred).