Senior Manager - Compliance Testing - Financial Services

- The role holder will be required leading a team to test and assess the effectiveness of financial crime and regulatory compliance controls, identifying and raising issues where control gaps lead to material unaddressed compliance risks.

At a high level, the role holder will be responsible for the following:

- Lead an assessment team as they evaluate compliance controls for design and operating effectiveness, raising issues as appropriate.

- Ensure that assigned control assessments are accurate, effective

- Supervise the delivery of assigned control assessments, using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.

- Ensure that assigned control assessments are delivered on time, in accordance with the assessment plan.

- Manage control owners and other stakeholders, ensuring the success of individual reviews, minimising contention where possible and requesting support where deemed necessary.

- Manage the documentation of distinct control types, covering key aspects, such as remit, main processes and handovers to other teams.

- Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.

- Lead, develop and motivate the assessment team to attract, retain and develop talent, ensuring the successful delivery of assigned control assessments.

- Support the executive in-charge in fulfilling responsibilities as required, including budget management, resourcing and feeding into the development of procedures and templates.

- Determine innovative ways of testing controls in a precise and efficient manner, harnessing analysis of data where possible.

- Be attuned to the political, management, operational, regulatory and reputational implications of particular decisions and courses of action. Managing the demands of the multiple and diverse aspects of the role.

- Assist management in development of controls and systems and influencing the way in which business is conducted in order to manage these risks.

Knowledge and Experience

- Minimum of 8-10 years proven experience in financial services compliance, testing, audit and/or legal management experience or equivalent.

- Excellent understanding of financial crime and/or regulatory compliance and/or the aptitude to develop this understanding in good time, and must be familiar regarding relevant regional laws, regulations and the overall regulatory environment.

- Experienced people manager, with excellent communication skills, a polished management style, and a proven track record of leading through change.

- Proven ability to question, evaluate, and improve existing business processes and adequacy of information.

- Experience working with local and regional stakeholders and an understanding of global standards of quality.

- Minimum Bachelor's degree in related field such as business, finance, law or equivalent experience; Master's degree preferred.

- Requires understanding of the changing regulatory landscape regarding compliance functions within the banking industry.

- Broad knowledge of banking and a good understanding of all significant regulatory compliance requirements applicable to a CoE.

- Experience developing assurance automation and analytics tools preferred.

- Fluent in both oral and written English.

- Proficient with Microsoft Office.