Compliance Monitoring and Testing Project
3 weeks ago
Key Responsibilities
- Identify and assess potential compliance risks associated with new and existing products, services, and processes.
- Develop and execute test plans to evaluate the effectiveness of internal controls and identify potential compliance gaps.
- Analyze monitoring and testing results to identify trends and exceptions, and recommend appropriate corrective actions.
- Investigate and document potential compliance violations.
- Maintain comprehensive records of all monitoring and testing activities.
- Stay current on all applicable laws, regulations, and industry guidance related to retail financial services compliance.
- Prepare periodic reports on the effectiveness of the compliance monitoring and testing program.
Key Requirements
- The 2 x Analysts must have 2 years + experience working in a similar role within Financial Services, ideally within a Retail/Consumer Financial Services Organisation
- The VP must have 7+ years experience ideally in similar roles within Financial Services, ideally within a Retail/Consumer Financial Services Organisation
- Strong understanding of Retail Consumer Products and Regulations in this space
- Good stakeholder management skills to work closely with the 2nd Line you will be in and also the 1st Line
Please reach out to Bradley Handelaar at Danos Consulting if you are keen to learn more about this opportunity.
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