AVP/Manager- Compliance Assurance/Risk Compliance

The primary duties are as follows:

- Assessing the validity and accuracy of Conduct Risk, including Financial Crime, issues and associated action plans (incl. DWBs, Lessons Learned, Risk Events and other exceptions) raised to support the Compliance Standards delegates in approving relevant Conduct Risk issues prior to issue publication, changes or milestone conversion.

- Conducting Issue Closure Validation review to confirm that the evidence provided by the Business is sufficient to confirm validation of the issue through desktop review of the evidence provided in the Issue Closure Pack.

- Oversight and tracking of Issues submitted for approval to the Assurance Global Services Issues Management Services team

- Management and oversight of any other matters within the Compliance Issues Management Inventory (additions, removals, changes and reconciliations) including running and maintaining the operational tracking dashboard

- Working with wider Assurance Global Services Issues Management Services team colleagues on the production of Compliance Assurance Management MI, including Compliance Assurance and Issues Management operational effectiveness and risk effectiveness metrics, and a pipeline of issues falling due for the Heads of Compliance Assurance.

- Preparing reports and updates on the current status of exceptions across the Business, including assessment, failures and trend analysis of these issues for upward escalation.

- Provide support to the Assurance Global Services India Lead in the delivery of the Regional Head's functional and regional responsibilities.

- Provide guidance to team members and peers within the wider team by sharing best practice.

- Maintaining up to date procedures for own role as well as the library of procedures used by the wider Compliance Issues Management Services team

- Participate in associated quality control checks and peer reviews where required

o Provide Ad-hoc support in the delivery of other projects in the Head of Assurance Global Services - Issues Management 's portfolio.

What we're looking for:

- Confident, positive and proactive, with strong organisational skills and resilient personality

- Ability to engage and build relationships with senior stakeholders

- Ability to make decisions and solve problems with a proven track record of well-considered judgements

- Excellent written and verbal communication skills.

Skills that will help you in the role:

- Previous experience in Compliance Assurance/Monitoring & Testing, Controls Testing, Quality Assurance, Investigations or Audit, Issues Management

- Displays professional scepticism, raising and discussing contentious observations with management; able to adapt style when necessary

- Excellent written and verbal communication skills; able to communicate compliance issues in a non-technical way

- Graduate

- Strong Excel and PowerPoint skills

- Demonstrates well-considered judgments and anticipates emerging risks

- Project Management skills

- Desire to improve technical knowledge through self-learning or training including mandatory CPE requirements.

- Ability to make decisions and solve problems with a proven track record of well-considered judgements