Compliance Manager

Compliance Manager, London

Control planning

• Contribute to the planning of independent testing and control execution, using the Risk Control Self-Assessment ('RCSA'), incidents and other available information (e.g. regulatory watch, newsletters).
• Take ownership of allocated sections of the testing plan.

Control execution

• Lead and drive forward the allocated program of risk-based thematic, transversal, targeted and desk focused Compliance reviews / Independent Testing or 2LoD control execution primarily across the client's CIB activities within EMEA as set out in the Compliance Review/ Independent Testing Plan
• Challenge the 1 LoD control framework including control applicability, design, methodology (for sampling v and rating) as well as other factors to ensure that the compliance risk articulated in the key objectives of the Generic Control library (GCL) or the Central Control Library (CCL) is appropriately mitigated.
• Deliver Independent Testing and Controls within the deadlines set to the expected standards and leave sufficient time for manager review prior to reporting deadlines.
• Maintain an audit trail for all work carried out during the control testing, reporting and Action Plan stages.
• Prepare a high-quality detailed report concluding the work done during the review outlining key findings and agreed remediating actions.
• When required, provide guidance to other team members at Assistant Vice President, Associate or Analyst level to help them carry out their work
• Share and discuss control and Independent Testing results with Compliance and Business stakeholders and proactively manage challenge.
• Liaise with all necessary senior key stakeholders to inform, influence and achieve mutual agreement of any recommendations raised during the review with allocated assignees.
• Analyse submitted evidence by Action Plan Owners to ensure evidence is sufficient for Team Manager(s) to accept closure.
• Escalate significant issues and challenges

Control reporting

• Take ownership of the team's reporting tasks when required.
• Record Independent testing and controls results and action plans in the reporting tools.
• Assist in the design, preparation and presentation of Management Information.
• Coordinate and consolidate reporting of control results with other controllers and teams.

Control framework and methodology

• Cooperate effectively with colleagues in CCC-E and across the compliance department to share relevant information and improve efficiency
• Liaise effectively with stakeholders in the Business, RISK ORC, Inspection Generale and other functions.
• Actively contribute to the planning process for the annual Independent Testing Plan, identifying relevant topics.
• Look to improve the effectiveness and efficiency of the 2 LoD control framework and methodology.