Compliance Control Specialist
2 days ago
About our role
We're seeking a Compliance Control Specialist to review and test investment suitability controls.
Responsibilities
- Lead or participate in reviews of investment suitability controls
- Analyze and assess risks from business and support functions
- Evaluate control design, implementation, and effectiveness
- Document review findings and communicate with senior management
- Develop recommendations for solution owners
- Assess remediation actions submitted by the business
- Collaborate with peers in compliance, regulatory, and governance
- Develop relationships with stakeholders and senior management
About us
We operate through four divisions: Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank.
Requirements
- 3-4 years' experience in audit or compliance testing in the financial industry
- Strong analytical skills and problem-solving approach
- Ability to understand complex processes and challenge the status quo
- Willingsness to keep up with industry developments and learn new concepts
- Effective communication with senior stakeholders
- Risk-focused and capable of using data analytics to gain insights into business trends
- Reliable when working independently and exercising sound judgment
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