Control Monitoring, Assurance

2 weeks ago

London, United Kingdom Synchronicity Group Full time

**Specific Responsibilities**
- Conduct monitoring, assurance & testing on Front Office in accordance with the annual and quarterly plans, and additionally as directed, to provide assurance on compliance with Policies and Control requirements. This could include areas such as Call Listening(e.g., ensuring appropriate client discussions), Control Monitoring (ensuring critical controls are functioning daily), Control Assurance (e.g., ensuring Controls are designed and operating effectively), Conformance Testing (reviews to ensure local compliancewith Policies & Standards).
- Identify gaps, errors and deficiencies in established processes and compliance with Front Office processes, procedures and wider Policies and Standards.
- Provide recommended Control enhancements and activities to rectify areas of gaps, errors, and deficiencies.
- Complete written CMAT post-test reports, presenting to the CMAT Senior Manager for subsequent inclusion in the relevant governance forum to provide assurance on the Front Office-owned Control Environment.

**Potential Additional Responsibilities**(determined by knowledge and experience)
- Support the client redress and remediation process, partnering with 2LoD Compliance and Group functions to advise and support the Front Office in implementation of required processes.
- Support oversight of Front Office Best Execution, Timely Execution and Dealing, partnering with 2LoD Compliance and Group functions to advise and support the Front Office in maintaining compliance.

**Required Skills and Experience**
- Understanding of monitoring, assurance or testing within a Financial Services organisation.
- Understanding of the principles of internal control and Risk & Control frameworks.
- Experience of report writing and presentation.
- Ability to identify and assess the adequacy of controls frameworks and make appropriate control recommendations,
- Ability to constructively challenge, where appropriate, including middle management level.

Ideally this role will be London or Berkshire based with 3 days a week in the office, the rest working from home.

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