Compliance Independent Assessment Senior Analyst

• Develops, implements, and executes compliance testing and monitoring within assigned area for a component of a product line, function, or legal entity in accordance with CIA Plan
• Participates in the planning, executing, and reporting of compliance assurance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned area in accordance with CIA Plan
• Performs compliance controls testing, monitoring, transactional testing, or compliance controls monitoring activities based on the pre-defined CIA plan and reports any findings to the CIA Management team as necessary and documents them accordingly
• Utilizes innovative compliance testing/monitoring solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks
• Develops effective and collaborative relationships with stakeholders within and outside the CIA function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business
• Promoting knowledge sharing and promulgation of best practices across ICRM and the business
• Escalating to CIA management significant compliance matters that require their attention or action
• Additional duties as assigned

• Several years of experience
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities
• Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
• Extensive global compliance and audit related experience, and strong knowledge of business processes
• Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
• Understanding of relevant rules, laws, regulations, and specific regulatory requirements
• Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
• Effectiveness in working within a large scale and complex matrix organization is essential
• Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions
• Recommends appropriate and pragmatic appropriate solutions to risk and control issues
• Applies knowledge of key regulations to influence audit testing review scope
• Develops effective line management relationships to ensure strong understanding of the business
• Must be a self-starter, flexible, innovative, and adaptive
• Works collaboratively with regional and global partners in other functional units
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Bachelor’s degree
• experience in compliance, internal or external auditing, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
• experience in area of focus
• Advanced degree or relevant certification a plus

Advanced degree or relevant certification

• Generous holiday allowance starting at 27 days plus bank holidays
• increasing with tenure
• A discretional annual performance related bonus
• Private medical insurance packages to suit your personal circumstances
• Employee Assistance Program
• Pension Plan
• Paid Parental Leave
• Special discounts for employees, family, and friends
• Access to an array of learning and development resources