Join our dynamic team as an Associate of Financial Crime (2LoD) Testing, where you'll play a pivotal role in safeguarding our organisation against risks from financial crime threats. In this position, you'll be part of a team providing assurance to senior management and ensuring compliance with regulatory standards.
As a Compliance Testing Associate within the EMEA Corporate Compliance and Oversight Review (CCOR) Specialised Testing team, you'll be responsible for the timely and effective management and execution of the EMEA CCOR GFCC and 2LoD testing activities to assess the effectiveness of financial crime and related processes and controls. You will also be engaged in supporting other EMEA CCOR specialised testing programme/projects as required. This role offers an exciting opportunity with a supportive team to develop key skills and knowledge relating to many and various business areas within the Commercial & Investment Bank (CIB), Asset & Wealth Management and other lines of business around the globe.
Job responsibilities
1. Execute the EMEA CCOR Testing Programme in line with the firm’s expectation. Perform testing to assess the design and effectiveness of controls in place to manage operational, compliance and conduct risks.
2. Manage testing of business process and controls against Regulatory requirements
3. Partner with Operational Risk and Compliance managers, and business stakeholders.
4. Validate action plans are addressing identified issues in line with the firm’s expectations.
5. Lead departmental projects.
6. Work with global testing partners to support global testing assignments as directed.
Required qualifications, capabilities, and skills
7. Previous experience in Financial Crime/Compliance or Operational Risk experience in BSA/AML/KYC/Sanctions areas.
8. Strong communication and influencing skills - able to work across groups (Compliance, Controls and allied business groups), is collaborative, team-oriented and passionate about supporting internal / external stakeholders.
9. Proven track record of successful stakeholder management.
10. An understanding of operational risks and their drivers, and able to challenge the design and effectiveness of the associated business controls.
11. The ability to interpret financial regulations and regulatory requirements and assess operational compliance with those requirements.
12. Good analytical skills, attention to detail and able to demonstrate a good knowledge of control design and root cause analysis, including data analysis.
13. Have clear and concise verbal and written skills
14. Have good organizational skills with an ability to independently manage, prioritise, work under pressure and meet tight deadlines.
15. Be comfortable interacting with, and presenting to senior management, control functions, including internal and external auditors.
Preferred qualifications, capabilities, and skills
16. Related experience such as audit, operations, business control management, or similar. ACAMS, ICA or comparable certification preferred.