Assist in the completion of effective risk assessments to drive the UK and Europe Compliance Monitoring Plan.
Under the stewardship of the Head of Compliance Testing, Europe or Senior Associate Directors within the team: o Contribute to timely and accurate compliance Testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, IS Trust, BlueBay & WM).
Work with Compliance and business colleagues to log and track action plans raised to resolve issues identified during monitoring reviews;
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Assist in the completion of effective risk assessments to drive the UK and Europe Compliance Monitoring Plan.
Under the stewardship of the Head of Compliance Testing, Europe or Senior Associate Directors within the team: o Contribute to timely and accurate compliance Testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, IS Trust, BlueBay & WM).
Work with Compliance and business colleagues to log and track action plans raised to resolve issues identified during monitoring reviews;
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Lead/coach a team of Senior Analysts/Analysts in managing and completing the testing of controls for the assigned Testing Program.
Demonstrate strong management skills to effectively lead and engage a team of Senior Analysts/Analysts to execute risk and control evaluation activities (e.g. review and challenge, controls testing).
Demonstrate advanced level of risk management knowledge to facilitate and support Platforms in assessment and controls within Platforms.
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Perform control assessment of Platform owned controls in line with ICMP standards, Ops Risk Management framework and regulatory requirements.
Responsible for completing assigned control testing activities effectively and in timely manner.
Demonstrate understanding of control effectiveness when performing risk-based testing activities that independently evaluate the design and effectiveness of critical end to end processes and controls in accordance with ECT procedures and regulatory requirements.
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Perform control assessment of Platform owned controls in line with ICMP standards, Ops Risk Management framework and regulatory requirements.
Responsible for completing assigned control testing activities effectively and in timely manner.
Demonstrate understanding of control effectiveness when performing risk-based testing activities that independently evaluate the design and effectiveness of critical end to end processes and controls in accordance with ECT procedures and regulatory requirements.
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