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- Tasks: Lead compliance testing to ensure our firm meets global regulatory standards.
- Company: Join a top-rated trading platform with award-winning technology.
- Benefits: Enjoy competitive salary, generous time off, and remote work options.
- Other info: Dynamic team environment with opportunities for career growth and volunteer days.
- Why this job: Make a real impact in compliance while working with cutting-edge tech.
- Qualifications: 2-5 years in financial services with strong analytical and communication skills.
The predicted salary is between 60000 - 75000 £ per year.
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting‑edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever‑growing talented team.
The successful candidate will be responsible for ensuring that our firm complies with all its global regulatory requirements and standards across both Regulatory and Financial Crime Compliance. The Group Compliance Assurance team is responsible for conducting end‑to‑end testing (design and operation of controls) and evaluating the adequacy and effectiveness of the Firm's systems and internal controls mechanisms across the Regulatory and Financial Crime risk taxonomies.
Responsibilities- Conduct independent second line compliance assurance testing reviews to ensure that the firm is compliant with all applicable regulations, policies, and procedures.
- Identify, analyse and understand how risk can occur in our business and design testing approaches that will identify potential weaknesses in the firm's control environment.
- Execute both design and operational testing across all areas of applicable risk.
- Manage and validate issues resulting from Compliance Assurance testing.
- Participate in the development of the Compliance Assurance process, including the use of AI in supporting the testing approach.
- Assist in the development and implementation of compliance policies and procedures.
- Conduct investigations and reviews of compliance issues, and make recommendations for corrective action.
- Create reports that detail Compliance Assurance plan progress and identified findings to update management.
- Maintain accurate records and files of all Compliance Assurance and monitoring testing work.
- Lead compliance projects and thematic reviews and support the existing team with coordinating ongoing assignments.
- 2-5 years of experience within the financial services industry ideally in second line compliance assurance and testing, audit and/or controls testing functions.
- Understanding of assurance/audit testing principles across design and operational testing of controls.
- Knowledge of global regulatory framework, particularly in relation to UK, European and CySEC regulations.
- Excellent analytical skills and attention to detail.
- Strong written and verbal communication skills.
- Ability to work independently and as part of a team.
- Strong organisational and time management skills.
- A Bachelor's degree in a relevant field such as law, finance, business or accounting is preferred but not essential.
- Competitive Salary.
- Work-Life Harmony.
- Generous Time Off.
- Employee Referral Program.
- Comprehensive Health & Pension Benefits.
- Workation Wonderland – 30 extra days to work remotely from anywhere in the world (some restrictions apply).
- Volunteer Days – two additional paid days each year to support causes you care about.
Group Compliance Assurance Testing Manager employer: Capital Com Australia limited
Contact Detail:
Capital Com Australia limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Group Compliance Assurance Testing Manager
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Show us that you understand their regulatory environment and how your skills can help them stay ahead of the game.
✨Tip Number 3
Practice your answers to common interview questions, especially those related to compliance testing and risk management. We want to see your analytical skills shine through!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows us you’re genuinely interested in joining our talented team.
We think you need these skills to ace Group Compliance Assurance Testing Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Group Compliance Assurance Testing Manager role. Highlight your experience in compliance assurance and testing, and don’t forget to mention any relevant regulatory knowledge you have. We want to see how your skills align with what we’re looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background makes you a perfect fit for our team. Keep it engaging and make sure to connect your experiences to the responsibilities outlined in the job description.
Showcase Your Analytical Skills: Since this role requires excellent analytical skills, be sure to include examples of how you've used these skills in past roles. Whether it’s identifying risks or designing testing approaches, we want to see how you tackle challenges head-on!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, it shows you’re keen on joining our talented team!
How to prepare for a job interview at Capital Com Australia limited
✨Know Your Regulations
Make sure you brush up on the global regulatory frameworks, especially those relevant to the UK, Europe, and CySEC. Being able to discuss these regulations confidently will show that you understand the compliance landscape and are ready to tackle the challenges in the role.
✨Demonstrate Analytical Skills
Prepare to showcase your analytical skills during the interview. Think of examples where you've identified risks or weaknesses in a control environment and how you approached testing them. This will highlight your ability to think critically and solve problems effectively.
✨Familiarise with Compliance Assurance Processes
Get to grips with the compliance assurance testing processes, including design and operational testing. Be ready to discuss how you would develop and implement these processes, especially with the integration of AI. This shows you're not just familiar with the theory but can apply it practically.
✨Prepare Questions for Them
Interviews are a two-way street, so prepare insightful questions about their compliance projects and how they use technology in their testing approaches. This demonstrates your genuine interest in the role and helps you assess if the company is the right fit for you.