Compliance AVP / VP - QA and Conformance

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Job Description

Key responsibilities will include:

Establish a new global function from scratch which will deliver an effective and efficient Compliance QA and Conformance Testing process
Put in place a sophisticated QA and Conformance testing policy and training programme
Promote and communicate the embedding of this function throughout the organisation and oversee the development and implementation of high quality policies and standards
Ensure that proactive advice is delivered through effective partnership with others at all levels of Compliance
Promote the cultural, behavioural and organisational changes necessary within the Compliance function and the business to achieve continuous improvement
Initiate and sustain constructive relationships with stakeholders across all of Compliance.

Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function
Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program
Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions
Assisting with the continuous improvement of the QA and Conformance Testing Program from both an effectiveness and efficiency perspective
Supporting the collection, compilation and communication of Compliance QA and Conformance Testing results
Assisting in the coordination of global QA and Conformance Testing initiatives with relevant stakeholders, including the Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions
Providing strategic support to the Head of the department

Liaising with functional heads within Risk and Control to ensure global consistency in the coverage model

Bachelor's Degree
4+ years of experience in Legal, Compliance or Audit
Previous experience in Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit

Preferred Qualifications:

Strong relevant technical expertise combined with relevant experience and understanding of the investment banking industry related to Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
Experience in executing testing in a large and complex Investment Banking organization
Good writing skills and be able to communicate effectively in the context of: formal written reports

distributed to Senior Management; documentation of test workpapers; and email correspondence
Excellent business judgement and a willingness to exercise it
Professional demeanour and possess considerable presence, impact and gravitas and will command respect within the organisation and with the regulators
Be a proactive, energetic and resilient individual with a can-do approach
Vision to be able to help build a new function from scratch that is fit for the current regulatory environment
Be a self-starting and results-focused individual
Excellent interpersonal skills, be an effective communicator and possess strength of character

Be pragmatic in their approach to problem

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