Compliance Monitoring Specialist
2 days ago
Job Description
To assess the adequacy and/or effectiveness of controls implemented within business to mitigate the risk of non-compliance to legislation, regulation and supervisory requirements.
- Assess business activities to assist management and the board of directors to understand whether business is conducted in compliance with relevant regulatory and ethical requirements.
- Execution of the approved compliance monitoring plan, in assessing business processes meet legislative requirements.
- Executing of monitoring engagements including planning, assessments of the adequacy and effectiveness of the controls implemented by management and reporting the assurance outcomes to key management stakeholders.
- Build effective relationships with key stakeholders; peers and work collaboratively across clusters/function.
- Knowledge and understanding of key legislations impacting financial markets.
- Understand regulatory requirements and business unit function, structure, processes, strategy as applies prior to initiating reviews/engagements.
- Performing control assessments and complete documentations of planning, testing and findings in line with the methodology.
- Finalise allocated work and identified issues promptly with stakeholder, ensure completion of monitoring engagements in a timely manner.
- Create reports summarising major findings, issues, and outstanding remediation items, identify risks and controls.
- Understanding of combined assurance and participate in combines assurance activities.
- Manage own development in line with monitoring responsibilities to increase own competencies.
Job Details
Application Closing Date
30/05/24
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