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KEY ACCOUNTABILITIES: Job Specific Accountabilities: CIB Assurance and Monitoring
Design a new fit for purpose Corporate and Investment Banking (CIB) compliance related Business Control testing programme. This will also include Financial Crime Compliance (FCC) controls and conduct controls.
FAB CIB units include Corporate Finance, Global Transaction Banking and Coverage businesses.
Support the development of an annual schedule of business reviews based on inputs such as the Risk Assessment, discussions with Group Compliance, past reviews, and your own input based on your understanding of business risk.
Perform the approved assurance testing plan across the CIB business and identify key compliance related risks and issues.
Ensure assurance testing is performed in line with agreed milestones
Track and monitor to completion all assurance testing issues.
Be strong willed to be able to provide the appropriate challenge to the CIB business as required.
Being an independent control for CIB
The role requires analysis and challenge of complex activities in light of regulatory requirements
Professional / Technical:
The role requires the analysis and challenge of complex activities in light of regulatory requirements.
Solid analytical skills including the ability to identify discrepancies whilst managing, reviewing and gathering data.
The ability to critically analyse data including the identification of trends, themes and outliers.
Must have excellent time management skills, the ability to work in a pressurised environment, to tight deadlines and still deliver a consistently high standard of work.
Follow up and provide technical support (if required) to the CIB business to assist in the closure of Group Internal Audit / Regulatory / Group Compliance findings.
Issues management reporting (or escalation) to CIB and CIB Risk and Controls management.
Develop new fit for purpose business KRIs and MI reporting.
Ensure assurance testing results are recorded and appropriately reported to CIB business and CIB FLOD management.
Writing high quality reports presenting review results and articulating the findings
QUALIFICATIONS & EXPERIENCE:
Minimum Qualification: Bachelor's degree or higher in management, banking, finance, preferably with a recognised certification in compliance, KYC/AML/CFT, financial crime or risk management e.g. ACAMS, ICA Diploma or ICA Advanced Certifications
At least 8 - 10 years banking experience preferably in a reputable international bank with experience of working in highly regulated jurisdictions.
At least 3-5 years of experience in Internal Audit, Compliance Assurance or EWRA activities aligned to CIB business.
Internal Audit experience and Compliance background would be considered an asset.