Opportunity- Forensic Testing Compliance (Delivery Manager)
Location- London
• The role requires a presence on client premises for all weekdays (5 days).
Description
This role is part of the corporate and forensic compliance team and works closely with stakeholders to conduct risk assessments, deep-dive analysis, and fraud investigations. Core functions of the team will include gathering data, performing analysis, documenting results, developing work plans, and escalating to line compliance coverage.
• One of the key responsibilities will be to play an integral part in addressing high-risk issues, and operational challenges and mitigating potential risks. This role will help develop solutions for the clients by proactive compliance testing, guidelines revision/suggestion, implementation of policies and regulations and internal controls. This role will help develop solutions for the clients by proactive compliance testing, policy revision/suggestion, implementation of policies and regulations and internal controls.
• Obtain an understanding of client’s business, applicable laws/regulations and identify potential compliance/reputational risks. proactive approach to mitigate potential risks
• Analyze policies, procedures, data, supporting documents and identify areas for forensic reviews and compliance testing
• Develop methods of testing internal controls, share gaps/observations with clients, execute the plans discussed and effectively escalate to chief compliance officer
• The role will require developing forensic tools (as necessary), stakeholder management, ability to multi-task and maintaining comprehensive documentation
• Propose ways to create efficiencies for identifying risks in a thematic way
• Work on time-sensitive investigations and meet tight deadlines.
Basic Qualifications/Skills:
• Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.
• Strong understanding of the regulatory landscape in the US, UK, or APAC.
• In-depth understanding of the financial services industry predominantly asset/wealth management firms, investment banks, private equity firms, and broker/dealers.
• Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
• Practical knowledge of testing/investigations, and audit methodology.
• Demonstrate high-quality execution and attention to detail.
• Inquisitive mindset focusing on identifying risks and inefficiencies.
• Strong communication skills – written and verbal.
• Excellent time management and ability to multi-task
• Sense of intellectual curiosity, enthusiasm, integrity, and confidentiality
• Strong analytical and organizational skills
• Self-starter with the ability to work effectively with minimal supervision.
• Strong proficiency in Microsoft applications
Preferred skills:
• A professional qualification in risk management/fraud examination will be an added advantage.
• Experience with data/statistical analysis tools such as Power BI, Tableau etc.
• Proven ability to work collaboratively with cross-geographical teams.
• Excellent time management and ability to multi-task.
Experience:
• 8-10 years of experience in financial industry with strong expertise in internal audit/compliance such as those focusing on risk assessments.
• Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle.
• Familiarity of Business Intelligence tools is a plus.