CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Define the scope and objectives for a portfolio of compliance testing assignments. Gather and analyse relevant data and interview key personnel to confirm an understanding of the related process, risks and controls.
Create and execute a testing plan focused on the key compliance risks. Carry out sampling and testing activities and document the work performed.
Review testing results with process owners to ensure the accuracy of findings.
Investigate potential issues, including a root cause analysis and an assessment of the impact to the organisation.
Present findings to senior management and work with the process owners to develop remedial actions that lead directly to process improvements.
Issue final reports that clearly and succinctly articulate the findings and the risk they may pose.
Follow up with process owners and manage the closure of remedial actions, including an assessment of evidence to verify closure.
Significant experience in compliance testing or internal audit within financial services.
Solid writing and verbal communication skills.
Proficiency in Word, Excel
Attention to detail and a methodical approach to execution.
Strong analytical skills and confidence to challenge information received in a constructive way.
Excellent interpersonal skills and a collaborative mindset.
Internal Number: 6266354
About Michael Page Financial Services
eFinancialCareers is a career site specializing in financial services.