Compliance Audit Vacancy



Working within a function responsible for assuring legal and regulatory obligations for financial services are met, this role involves anticipating, identifying and managing risks across a business. This role would suit someone with a background in compliance audit and comprehensive knowledge of the infrastructure of large investment institutions in financial services.

Reporting directly to the Senior Internal Audit Manager, this role involves advising audit (I had put assessment originally but took it out again) teams of legislative and regulatory frameworks impacting financial services across Eurasia.

Responsibilities

  • Using a thorough knowledge of regulatory frameworks and legislation affecting financial services across Europe as the basis for developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures
  • Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
  • Developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures.
  • Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
  • Developing excellent working relationships with colleagues to improve function practice, participating in committees as required.
  • Mentoring team members and developing own practice through regular meeting with assigned line manager.

 Requirements

Essential

  • Educated to degree level or with considerable experience in financial services compliance
  • Thorough knowledge of legislation and governing frameworks informing financial services practice across Europe and the Middle East.
  • Excellent communication skills and thorough knowledge of industry standard software.
  • Willingness to travel

Desirable

  • Broad understanding of audit governance
  • Multi-lingual