Senior Compliance Specialist

The role of an Associate Consultant in Compliance Testing involves overseeing independent compliance testing for financial services entities within a region. This position requires the ability to scope, plan, and conduct testing while documenting findings.

Key responsibilities include implementing and enhancing regional GCT programs in coordination with local, regional, and global partners and functions. The consultant must execute annual GCT plans by conducting testing, collaborating with managers, and meeting deadlines.

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• Scope, plan, and conduct independent compliance testing for financial services entities within a region.\
• Implement and enhance regional GCT programs in coordination with local, regional, and global partners and functions.\
• Execute annual GCT plans by conducting testing, collaborating with managers, and meeting deadlines.\
• Perform reviews within agreed-upon deadlines and scope while considering both global and regional requirements as well as local policies and regulations.\
• Follow established policies, procedures, and standards for testing while appropriately documenting testing performed.\
• Apply analytical skills to identify potential gaps or areas for control enhancement within the first and second lines of defense.\
• Validate and communicate results in clear, concise language while escalating key risks in a timely manner.\
• Track issues identified and conduct risk-based testing of solutions implemented.\
• Partner with audit senior management, business partners, and relevant compliance functions to coordinate GCT testing.\
• Develop strong relationships with business units.\
• Advise business partners on applicable laws, regulations, rules, standards, and best practices that may impact their business on an ad-hoc basis.\
• Work closely with global and regional GCT teams as required.\
• Collaborate with the wider Compliance, Risk, and Controls teams.\
• Produce and analyze GCT reports and data for internal committees and boards.\
• Attend training and information sessions to continue building knowledge regarding the regulatory environment and enhance personal development.\
• Solve problems in straightforward situations.\
• Analyze possible solutions using technical experience and judgment and precedents.\
• Impact quality of own work and the work of others on the team.\
• Work within established guidelines and policies.\Required Skills and Qualifications\
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  • Ability to communicate in a clear, concise, and effective manner (verbal and written).\
  • Experience related to monitoring/testing, including planning of tests, ideally gained through experience in compliance testing, operational risk, or internal/external audit.\
  • General knowledge of bank compliance regulations; knowledge of specific topics such as payments, market abuse, privacy, AML, ABC, Sanctions, fraud is a plus.\
  • Understanding of regional regulations and relevant laws.\
  • Knowledge of Custody, Asset Servicing, FX, Fund Administration, Brokerage businesses as well as corporate governance such as outsourcing and bank secrecy requirements.\
  • Confidence and expertise to advise management and the business.\
  • Experience providing compliance advisory and operational support.\
  • Proactivity and minimal supervision.\
  • Strong organizational skills, a collaborative approach to work, with strong interpersonal skills.\
  • Effectively dealing with multiple competing deadlines.\
  • Attention to detail.\
  • Expanded conceptual knowledge in own job discipline.\
  • Understanding key business drivers and using this understanding to accomplish own work.\
  • Explaining complex information to others in straightforward situations.\
  • Providing informal guidance to new team members.\
  • A College or University degree and/or relevant proven work experience is required.\
  • 5-7 or more years' experience, preferably in Compliance or risk management.\
  • At least 3 years of experience in Audit, Control, or Compliance testing or equivalent related experience.\Benefits\

As a partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve.

Join a workplace with a greater purpose. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies.

We value an inclusive workplace and understand flexibility means different things to different people. Talk to us about your flexible working requirements and together we can achieve greater.