VP - Compliance Monitoring Lead - Banking and Markets

The VP - Compliance Monitoring Lead - Banking and Markets will be responsible for:

· Assist in the development and annual planning of the Compliance Monitoring

Plan as well as ongoing adjustments to plan;

· Independently scope and plan all assigned reviews.

· Execute all assigned monitoring reviews in a timely and thorough manner, and

in accordance with Compliance Monitoring procedures.

· Document testing clearly and concisely, in a re-performable manner and in

accordance with Compliance Monitoring conventions.

· Communicate with review stakeholders throughout the review to avoid any

surprises on review close-out.

· Communicate all findings to the Head of Compliance Monitoring in good time, and prior to review completion, to allow for any further escalation required. · Agree issues and actions with stakeholders and document these, along with their associated risks and root causes, independently. · Be accountable for the factual accuracy and quality of working papers and findings raised. · Manage review stakeholder relationships, keeping the Head of Compliance Monitoring informed of any relevant issues. · Be accountable for the completeness of assigned review files, in accordance with Compliance Monitoring conventions.