Compliance Monitoring and Testing
4 weeks ago
**Compliance Monitoring and Testing**
**Edinburgh**
**12 Month Contract**
**Competitive Rate**
Global team which identifies and assesses regulatory and conduct risk and delivers an annual program of Compliance Monitoring reviews and risk assessments. The team has members across the global organization who work closely together on a day-to-day basis. The team’s key activity is delivering its annual Compliance Monitoring program by undertaking in-depth reviews focused on different business units, country offices and regulatory themes as well as delivering an ongoing program of targeted testing.
**Responsibilities**:
- Deliver the scoping, execution and reporting of CMT reviews in accordance with team procedures. This includes: (i) undertaking extensive scoping and planning activities to develop comprehensive test plan/testing matrix; (ii) drafting cohesive reports/working papers for CMT reviews; (iii) present findings and recommendations to senior management within L&C and senior business stakeholders.
- Assists in the tracking of identified issues and action plans to validate remediation efforts as well as escalate to relevant stakeholders where required.
- Support the team in preparing and delivery of management information to senior management, boards and committees.
- Develop strong partnership and collaboration with key stakeholders within business as well as L&C department both regionally as well as globally.
- Partner with regional leads to deliver global reviews as well as lead/deliver strategic projects, initiatives and/or review.
- Build an understanding and awareness of the business, product platform and its operational and regulatory control environment.
- Proactively identify, analyse and escalate key regulatory risks identified as part of risk assessment and/or compliance monitoring activities.
**Background**:
- Understanding of the asset management sector;
- A strong knowledge of regulatory requirements and focus areas in the UK and European Union;
- Excellent verbal and written communication skills with a track record of drafting high impact and high-quality reports;
- Experience leading high performing teams;
- Project management skills and experience delivering projects in a complex organization;
- A proven track record in producing high quality deliverables under competing priorities and adherence to deadlines; and
- Knowledge of other key Compliance and risk management topics would be beneficial, for example risk assessment methodologies and developing management information.
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