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Capital.Com

Posted 3 months ago

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Compliance Assurance Testing Manager

MelbourneOn-siteFull-time

AI Summary

Compliance Testing Manager responsible for end-to-end testing of regulatory and financial crime controls, designing testing approaches, managing issues, and supporting the Compliance Assurance process.

About this role

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

We are seeking a Compliance Testing Manager to join our Group Compliance Assurance team.
The successful candidate will be responsible for ensuring that our firm complies with all its global regulatory requirements and standards across both Regulatory and Financial Crime Compliance.

The Group Compliance Assurance team is responsible for conducting end to end testing (design and operation of controls) and evaluating the adequacy and effectiveness of the Firm's systems and internal controls mechanisms across the Regulatory and Financial Crime risk taxonomies.

This is an excellent opportunity for a compliance or audit professional to join a leading CFD firm. The successful candidate will work closely with the local compliance teams to ensure that our business operates within regulatory requirements, whilst supporting our growth and development.

Responsibilities

  • Conducting independent, second line, compliance Assurance testing reviews to ensure that the firm is compliant with all applicable regulations, policies, and procedures.
  • Identifying, analysing and understanding how risk can occur in our business and designing testing approach’s that will identify potential weaknesses in the firms control environment.
  • Executing both design and operational testing across all areas of applicable risk.
  • Manage and validate issues resulting from Compliance Assurance testing.
  • Participate in the development of the Compliance Assurance process, including use of AI in supporting the testing approach.
  • Assisting in the development and implementation of compliance policies and procedures.
  • Conducting investigations and reviews of compliance issues, and issues and making recommendations
    for corrective action.
  • Creating reports that detail Compliance Assurance plan progress and identified findings to update management.
  • Maintaining accurate records and files of all Compliance Assurance and Monitoring testing work.
  • Both lead compliance projects and thematic reviews and support the existing team with co-ordinating ongoing assignments.

    • Requirements

  • 2-5 years of experience within the financial services industry ideally in second line Compliance Assurance and testing, Audit and/or Controls Testing functions.
  • Understanding of assurance/audit testing principles across Design and Operational testing of controls
  • Knowledge of ``global regulatory framework, particularly in relation to UK, European and CySEC regulations.
  • Excellent analytical skills and attention to detail.
  • Strong written and verbal communication skills.
  • Ability to work independently and as part of a team.
  • Strong organisational and time management skills.
  • A Bachelor's degree in a relevant field such as law, finance, business or accounting, is preferred but not essential.

    • Skills

    AI In Testing SupportAnalytical SkillsAudit PrinciplesBachelor's Degree In Law/finance/business/accounting (preferred)Compliance Policies And ProceduresControls TestingData AnalysisDesign And Operational TestingIndependent WorkIssue ManagementProject CoordinationQuality AssuranceRegulatory Compliance TestingRegulatory Frameworks (UK/EU/CySEC)Regulatory Knowledge (financial Crime)Reporting And DocumentationRisk AssessmentSecond-line AssuranceTeam CollaborationWritten And Verbal Communication

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