Key Responsibilities:
In this role, you will be responsible for the compliance assurance and testing programme across the firms banking and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.
You will be expected to contribute to the overall compliance assurance and testing framework by:
Leading, managing and owning technically complex, well-articulated and comprehensive reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders
Scoping reviews and developing test programmes
Tracking, managing and taking ownership of the remediation of compliance issues by working with relevant business stakeholders
Regularly meeting with and engaging with key business stakeholders in order to identify key risk areas and building/maintaining strong relationships with key stakeholders
Contributing to the quarterly and annual risk assessments
Coaching, supporting and training junior members of the team
Providing support to both the Bank and Securities Head Offices
Working in collaboration with the First Line to support their assurance programme
Providing regular MI for management and Head Office
Assisting in the creation and delivery of the department’s Assurance Plan by identifying key areas of focus for reviews,
Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.
Supporting and expanding the use of the internal data analytics system to drive testing efficiencies
Actively participating in current CTQA projects and wider initiatives such as compliance framework implementation, risk rollout in EMEA and globally
Acting as SME for the data analytics project and supporting and delivering related User Acceptance Testing (UAT) and other deliverables as part of phased go-lives, delivering and supporting with training sessions to the Testing Team (and more widely) on their use of the system (Sherlock).
Progressing the data analytics strategy (including any Artificial Intelligence related projects) to help increase the profile, investment and usability of Sherlock across other teams, internally and externally to Core Compliance.
Representing Core Compliance at relevant committees and forums across the Bank and Securities
Supporting the build out of the CTQA’s presence in EMEA
Other ad-hoc tasks as requested by management
