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For Companies At a Glance
- Tasks: Lead compliance reviews and independent testing across capital markets in Europe.
- Company: Join a dynamic firm at the forefront of financial compliance and risk management.
- Benefits: Enjoy flexible working options, competitive salary, and professional development opportunities.
- Why this job: Make a real impact on compliance standards while collaborating with key stakeholders.
- Qualifications: Experience in compliance or risk management is essential; strong analytical skills are a plus.
- Other info: Opportunity to mentor junior team members and shape compliance methodologies.
The predicted salary is between 48000 - 72000 £ per year.
Manage and deliver high quality Compliance Reviews / Independent Testing and controls in a timely manner across capital markets business lines throughout Europe. Subject matter expert on any control subjects on the given areas of expertise. Look for opportunities to continuously improve the Independent Testing and Compliance Reviews methodology and engage proactively and effectively with key stakeholders.
Key Responsibilities
- Control planning: Contribute to the planning of independent testing and control execution, using the Risk Control Self-Assessment (‘RCSA’), incidents and other available information (e.g. regulatory watch, newsletters). Take ownership of allocated sections of the testing plan.
- Control execution: Lead and drive forward the allocated program of risk-based thematic, transversal, targeted and desk focused Compliance reviews / Independent Testing or 2LoD control execution primarily across banking activities within EMEA as set out in the Compliance Review/ Independent Testing Plan. Challenge the 1 LoD control framework including control applicability, design, methodology (for sampling and rating) as well as other factors to ensure that the compliance risk articulated in the key objectives of the Generic Control library (GCL) or the Central Control Library (CCL) is appropriately mitigated. Deliver Independent Testing and Controls within the deadlines set to the expected standards and leave sufficient time for manager review prior to reporting deadlines. Maintain an audit trail for all work carried out during the control testing, reporting and Action Plan stages. Prepare a high-quality detailed report concluding the work done during the review outlining key findings and agreed remediating actions. When required, provide guidance to other team members at Assistant Vice President, Associate or Analyst level to help them carry out their work. Share and discuss control and Independent Testing results with Compliance and Business stakeholders and proactively manage challenge. Liaise with all necessary senior key stakeholders to inform, influence and achieve mutual agreement of any recommendations raised during the review with allocated assignees. Analyse submitted evidence by Action Plan Owners to ensure evidence is sufficient for Team Manager(s) to accept closure. Escalate significant issues and challenges identified promptly to the Team Manager and the Head of CCC, with proposed solutions.
- Control reporting: Take ownership of the team’s reporting tasks when required. Record Independent testing and controls results and action plans in the reporting tools. Assist in the design, preparation and presentation of Management Information. Coordinate and consolidate reporting of control results with other controllers and teams.
Compliance Assurance/Controls Manager employer: ZipRecruiter
Contact Detail:
ZipRecruiter Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assurance/Controls Manager
✨Tip Number 1
Familiarise yourself with the latest compliance regulations and frameworks relevant to capital markets in Europe. This knowledge will not only help you understand the role better but also demonstrate your commitment to staying updated in this fast-paced environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in independent testing and controls. Engaging with industry experts can provide insights into best practices and may even lead to referrals or recommendations for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance reviews or testing in the past. Highlighting your hands-on experience will show that you can effectively lead and execute the responsibilities outlined in the job description.
✨Tip Number 4
Demonstrate your ability to engage with stakeholders by preparing questions or topics to discuss during interviews. Showing that you can proactively manage relationships and influence decisions will set you apart as a strong candidate for the role.
We think you need these skills to ace Compliance Assurance/Controls Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Assurance/Controls Manager. Familiarise yourself with compliance reviews, independent testing, and the specific requirements mentioned in the job description.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, risk management, and control execution. Use keywords from the job description to demonstrate that you meet the qualifications and can fulfil the role effectively.
Craft a Compelling Cover Letter: Write a cover letter that showcases your expertise in compliance and your ability to engage with stakeholders. Mention specific examples of how you've improved compliance methodologies or led successful testing initiatives in previous roles.
Highlight Your Analytical Skills: In your application, emphasise your analytical skills and your experience in preparing detailed reports. Provide examples of how you've successfully analysed evidence and managed challenges in compliance settings.
How to prepare for a job interview at ZipRecruiter
✨Understand the Compliance Landscape
Familiarise yourself with the current compliance regulations and frameworks relevant to capital markets in Europe. Being able to discuss recent changes or challenges in compliance will demonstrate your expertise and proactive engagement with the subject matter.
✨Showcase Your Analytical Skills
Prepare examples of how you've successfully analysed compliance risks and implemented controls in previous roles. Highlight specific instances where your analysis led to improved compliance outcomes, as this will resonate well with the interviewers.
✨Engage with Stakeholders
Be ready to discuss your experience in liaising with various stakeholders. Share examples of how you’ve influenced decisions or achieved consensus on compliance recommendations, showcasing your communication and negotiation skills.
✨Prepare for Scenario-Based Questions
Anticipate scenario-based questions that may test your problem-solving abilities in compliance situations. Think through potential challenges you might face in the role and how you would address them, demonstrating your critical thinking and strategic approach.
