Current Opportunities

Our client is committed to an inclusive culture

Compliance Tester, AVP

Immediate Start - Full Time

Our client is committed to an inclusive culture that embraces, leverages, and respects the diversity of their people, clients, and communities in order to reach their aspiration to be the leading client-centric global universal bank. They foster an inclusive and respectful work environment where every employee can contribute his or her best work, succeed based on merit, and be rewarded appropriately. Our client has retained E2W to help them find female candidates for a Compliance Tester opportunity. 

Overview:

You’ll be joining the Compliance Testing (CT) team, which is responsible for reviewing and testing the adequacy and effectiveness of the business control environment to manage relevant Compliance Risks or to meet specific regulatory requirements.

Key Responsibilities:

  • Assisting senior testers with proactively identifying and assessing compliance related risks to the Bank and assess how these risks can be tested in a meaningful way
  • Assisting senior testers with identification and documenting the scope and testing approach for reviews in line with the CT methodology
  • Conducting fieldwork in line with the agreed Testing Plan
  • Ensuring that work conducted and findings from testing are adequately documented
  • Agreeing remediation actions and ownership with key stakeholders based on findings from the fieldwork
  • Producing reports that present review results, articulating the rationale for findings, the risks posed and actions required to address those risks
  • Working with Business Line Compliance Officers and Management to agree on appropriate action plans
  • Tracking agreed actions through to conclusion and report on progress upon completion of reviews
  • Developing and maintaining a broad knowledge of the Bank’s business and regulatory framework in which the Bank operates
  • Developing and maintaining knowledge of the various products that are offered by the Bank’s Equities, Fixed Income and Currencies, Treasury and Institutional and Treasury Coverage Division

Skills & Qualifications:

  • Substantial experience of working in a Compliance or Risk and Control function (in a testing, surveillance or auditing role within an Investment Bank is particularly beneficial)
  • Knowledge of Global Markets/Financial markets business environment and products, including knowledge of equity-related products, including equity derivatives
  • Excellent understanding of Compliance risks and testing requirements
  • Experience of building and managing relationships with Stakeholders and an ability to influence Stakeholders and colleagues
  • Strong presentation and report writing skills
  • Ability to think critically and identify areas for process improvement
  • An ability to work to tight deadlines whilst achieving high quality outputs
  • A positive, collaborative and flexible approach required to operate in a constantly changing environment
  • Structured and organised in approach, demonstrating a high level of diligence and attention to detail – ability to ensure high quality and consistency in the deliverables produced
  • Results-orientated and ability to work in a fast-paced environment



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